Stuart Howard Herskowitz
AIF®Professional Summary
Stuart Howard Herskowitz, AIF®, who also goes by Stu Herskowitz, is a registered financial advisor currently at USI ADVISORS located in Glastonbury, Connecticut and USI SECURITIES, INC. located in Glastonbury, Connecticut. Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stuart has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stu Herskowitz
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
Credentials
Years of Experience
34 years in the financial services industry
Current & Past Employments
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
Current Firm
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.
Contact Information
Main Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033Phone Number
(860) 633-5283# of Employees
79SEC notice filing (49 States and Territories)
Registered to provide investment advisory services in 49 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
1,355AUM (Assets Under Management)
$56,282,631,536Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
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.
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
Primary Firm SEC Registration
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.
State Registrations and Notice Filings
(10/25/2023)
(11/16/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1992About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 1997About the Series 26 examSRO Registrations
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Howard Herskowitz's CRS (Customer Relationship Summary).
Similar Advisors
FINANCIAL RESOURCES GROUP, LLC
