Scott D. Mcquillen
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.
Scott Daniel Mcquillen, AIF®, who also goes by Seon Daniel Mcquillen, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2017. Scott had worked at 4 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2023 - May 6, 2026
USI SECURITIES, INC.
March 15, 2023 - May 6, 2026
USI SECURITIES, INC.
November 1, 2021 - December 10, 2022
AMERITAS ADVISORY SERVICES, LLC
August 5, 2019 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
December 19, 2017 - July 9, 2019
OBS FINANCIAL
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 6/14/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| CURLEY, MARY | SECRETARY | 8207294 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| O'ROURKE, MICHAEL DENNIS | VICE PRESIDENT -COMPLIANCE & OPERATIONS | 1551838 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
Red Flags
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