Joseph J. Gritzer

USI SECURITIES

Glastonbury, CT 06033

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CRD#: 2162679

Professional summary

Joseph John Gritzer JR, who also goes by Joe Gritzer, is a registered financial advisor currently at USI SECURITIES, INC. located in Glastonbury, Connecticut.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Gritzer

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) - RIA

Click below to view Joseph John Gritzer JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph John Gritzer JR'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®

None

Experience

Current

March 4, 2003 - Present

USI SECURITIES, INC.

Office #1: 95 Glastonbury Blvd Suite 102, Glastonbury, CT 06033

RIA

CRD#: 43793

Glastonbury, CT

Current

October 15, 2001 - Present

USI SECURITIES, INC.

Office #1: 95 Glastonbury Blvd Suite 102, Glastonbury, CT 06033

RIA

CRD#: 43793

Glastonbury, CT

Past

March 10, 1998 - April 12, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

February 9, 1996 - June 4, 1997

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

February 23, 1995 - January 29, 1996

HARVEST CAPITAL LLC

CRD#: 35723

WETHERSFIELD, CT

Past

February 18, 1993 - January 31, 1995

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

September 2, 1992 - February 16, 1993

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

August 6, 1991 - August 28, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 6, 1991 - August 28, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

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

Connecticut
(10/15/2001)

IAR

Connecticut
(3/4/2003)

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: 11/25/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/18/1993

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Joseph J. Gritzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph John Gritzer JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph John Gritzer JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

HARVEST CAPITAL LLC

SECURITIES AMERICA, INC.

AVANTAX INVESTMENT SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

USI SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1996

Series 63

Date: 7/20/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/5/1991

Series 24

Date: 1/18/1993

FINRA

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

Contact information

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