Paul S. Mcbroom

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CRD#: 2015492

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Paul Samuel Mcbroom was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 9 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

December 3, 2018 - March 26, 2020

USI SECURITIES, INC.

CRD#: 43793

Tampa, FL

Past

September 24, 2014 - January 20, 2016

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

RIA

CRD#: 106156

TAMPA, FL

Past

May 10, 2006 - September 20, 2012

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

CLEARWATER, FL

Past

August 23, 2004 - December 20, 2005

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

TAMPA, FL

Past

May 18, 2004 - December 15, 2005

STANCORP EQUITIES, INC.

CRD#: 19517

PORTLAND, OR

Past

May 15, 1998 - December 31, 2003

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

October 25, 1995 - October 15, 1997

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

January 21, 1992 - August 21, 1995

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 23, 1990 - December 31, 1991

CIGNA CAPITAL BROKERAGE, INC.

CRD#: 21387

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".

USI SECURITIES, INC.

CRD#: 43793 / SEC#: 801-56578, 8-50429

RIA

Registered Investment Advisory firm - SEC (6/4/1999 Approved)

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

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/12/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1990

General Securities Representative Examination

Current Firm

USI SECURITIES, INC.

CRD#: 43793 / SEC#: 801-56578, 8-50429

RIA

Registered Investment Advisory firm - SEC (6/4/1999 Approved)

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

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Contact information

Main Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Mailing Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Phone number

(860) 652-3239

Established

Delaware since 07/29/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USI SECURITIES, INC. - RIA - FORM ADV PART 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
USIC INVESTMENT GROUP INC.	SHAREHOLDER
BOWMAN, RICHARD CHARLES	FINOP, DIRECTOR OF OPERATIONS	2356525
GRITZER, JOSEPH JOHN JR	PRESIDENT	2162679
KAPPUS, DAVID L	TREASURER	6837749
NEWBORN, ERNEST JOSHUA	DIRECTOR/SECRETARY	3154426
ROBIDOUX, MELINDA MCDONALD	CHIEF COMPLIANCE OFFICER	2848093
TREMKO, WILLIAM MICHAEL	CHIEF EXECUTIVE OFFICER	4495149

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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Firm Stability Insights

Paul S. Mcbroom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

PAN-AMERICAN FINANCIAL ADVISERS

SECURIAN FINANCIAL SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CIGNA CAPITAL BROKERAGE, INC.

Primary Firm SEC Registration

USI SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/2014

Series 66

Date: 7/12/2004

Series 7

Date: 1/20/1990

Current Firm

USI SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

USI SECURITIES, INC.

TRUST BUT VERIFY

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