Nelson E. Newton

USA FINANCIAL SECURITIES LLC

Lemont, IL

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CRD#: 1983721

Professional summary

Nelson Eddie Newton, CFP® is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Lemont, Illinois.

Nelson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Nelson has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Retirement Shepard Financial - 60 West Logan Street, Lemont IL 60439. Start date 11/29/2019. Owner/Financial Advisor. Provide life insurance and fixed annuity solutions for clients. Investment related. 10 hours per month devoted to business. 10 hours per month devoted during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nelson Eddie Newton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nelson Eddie Newton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

November 18, 2022 - Present

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

Lemont, IL

Current

November 18, 2022 - Present

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

Lemont, IL

Past

November 29, 2019 - November 21, 2022

OSAIC FA, INC.

RIA

CRD#: 3978

CHICAGO, IL

Past

November 29, 2019 - November 21, 2022

OSAIC FA, INC.

CRD#: 3978

CHICAGO, IL

Past

February 8, 2018 - August 9, 2023

GEIGER WEALTH MANAGEMENT

RIA

CRD#: 159526

OAK BROOK, IL

Past

May 29, 2007 - January 2, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

OAK BROOK, IL

Past

May 29, 2007 - January 2, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

OAK BROOK, IL

Past

April 26, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

CHICAGO, IL

Past

April 26, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

CHICAGO, IL

Past

August 15, 2005 - April 28, 2006

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

ROLLING MEADOWS, IL

Past

July 27, 2005 - April 28, 2006

FIFTH THIRD SECURITIES, INC.

CRD#: 628

ROLLING MEADOWS, IL

Past

February 10, 2004 - July 29, 2005

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

March 19, 2003 - December 11, 2003

FISHER INVESTMENTS

RIA

CRD#: 107342

LEMONT, IL

Past

April 11, 2001 - January 22, 2003

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CHICAGO, IL

Past

January 2, 2001 - January 22, 2003

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

CHICAGO, IL

Past

May 6, 1993 - October 29, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

April 10, 1990 - October 2, 1992

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

FORT WORTH, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

USA FINANCIAL SECURITIES LLC

USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA

Registered Investment Advisory firm - SEC (8/24/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (9/12/2007 Terminated)

California

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (9/28/2007 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Delaware

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/11/2007 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kansas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (9/5/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (9/19/2007 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (9/29/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/18/2022)

IAR

Florida
(11/28/2022)

Illinois
(11/18/2022)

IAR

Illinois
(11/18/2022)

IAR

Michigan
(7/27/2023)

Missouri
(11/18/2022)

IAR

Missouri
(11/18/2022)

New Jersey
(11/18/2022)

IAR

New Jersey
(11/22/2022)

Tennessee
(11/18/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/7/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

USA FINANCIAL SECURITIES LLC

USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA

Registered Investment Advisory firm - SEC (8/24/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (9/12/2007 Terminated)

California

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (9/28/2007 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Delaware

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/11/2007 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kansas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (9/5/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (9/19/2007 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (9/29/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

6020 East Fulton, Ada, MI 49301

Mailing Address

6020 East Fulton, Ada, MI 49301

Phone number

(888) 407-8198

Established

Delaware since 07/03/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

166

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USA FINANCIAL SECURITIES PART 2A BROCHURE (9/22/2025)

USA FINANCIAL SECURITIES WRAP FEE BROCHURE (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
USA FINANCIAL LLC	OWNER
BACHERT, WILLIAM CLAYTON	CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR	4576698
ENDERS, BRENT DAVID	PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004	2858719
MCCONNELL, JAMES CARROLL JR	CHIEF OPERATIONS OFFICER	4679140
MERSMAN, MARK ROBERT	CHIEF MARKETING OFFICER	4702400
THOMASON, DAWN M	CHIEF COMPLIANCE OFFICER	5275125
WALTERS, MICHAEL DAVID	CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996	2580592

Regulatory assets under management

Total Number of Accounts	1,750
AUM (Assets Under Management)	$ 301,510,438

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nelson E. Newton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nelson Eddie Newton's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nelson Eddie Newton's CRS (Customer Relationship Summary).

Certified licenses

Experience

USA FINANCIAL SECURITIES LLC

OSAIC FA, INC.

OSAIC FA, INC.

GEIGER WEALTH MANAGEMENT

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

FISHER INVESTMENTS

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL TRUST COMPANY, FSB

FIDELITY BROKERAGE SERVICES LLC

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

USA FINANCIAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/1997

Series 63

Date: 4/7/1990

SIE

Date: 1/2/2018

Series 7

Date: 6/18/1993

Series 6

Date: 4/7/1990

FINRA

Current Firm

USA FINANCIAL SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

USA FINANCIAL SECURITIES LLC

TRUST BUT VERIFY

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