Stuart H. Herskowitz

USI ADVISORS

GLASTONBURY, CT 06033

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CRD#: 2279911

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stu Herskowitz

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.

1. HOOKER & HOLCOMBE, INC./INVESTMENT RELATED/1300 Hall Boulevard, Suite 1C Bloomfield, CT 06002/TPA ACTUARIAL/SR. VP/START DATE AUG 1996/PENSION CONSULTING 401K ADMINSTRTION 2. HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC/INVESTMENT RELATED/1300 Hall Boulevard, Suite 1C, Bloomfield, CT 06002/401K ADVISORY/SR. VP/START DATE AUG 1996/401K ADVISORY 3. H&H RETIREMENT SERVICES/INVESTMENT RELATED/1300 Hall Boulevard, Suite 1C Bloomfield, CT 06002/RETIREMENT SERVICES/SR. VP/START DATE AUG 1996/401K ADMINISTRATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Howard Herskowitz's 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 25, 2023 - Present

USI ADVISORS

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

RIA

CRD#: 108113

GLASTONBURY, CT

Current

October 26, 2023 - Present

USI SECURITIES, INC.

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

RIA

CRD#: 43793

Glastonbury, CT

Past

January 2, 2018 - October 17, 2023

PENSIONMARK SECURITIES, LLC

CRD#: 283952

Bloomfield, CT

Past

July 1, 2011 - December 31, 2017

NEWEDGE SECURITIES, LLC

CRD#: 10674

WEST HARTFORD, CT

Past

October 24, 2003 - December 31, 2005

ENSEMBLE FINANCIAL SERVICES, INC.

RIA

CRD#: 17443

WEST HARTFORD, CT

Past

August 10, 1998 - June 30, 2011

ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443

WEST HARTFORD, CT

Past

February 11, 1997 - December 31, 2023

HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.

RIA

CRD#: 125791

GLASTONBURY, CT

Past

January 8, 1997 - October 13, 1997

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

September 28, 1992 - September 10, 1996

PPI EMPLOYEE BENEFITS CORPORATION

CRD#: 28970

MIDDLETOWN, CT

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 ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

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

IAR

Connecticut
(10/25/2023)

Florida
(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

State Security Law Exam

IAR

Series 65

Date: 11/26/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/26/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/24/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

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Contact information

Main Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 633-5283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts	1,346
AUM (Assets Under Management)	$ 48,864,913,348

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stuart H. Herskowitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Howard Herskowitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

PENSIONMARK SECURITIES, LLC

NEWEDGE SECURITIES, LLC

ENSEMBLE FINANCIAL SERVICES, INC.

ENSEMBLE FINANCIAL SERVICES, INC.

HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.

COMMONWEALTH FINANCIAL NETWORK

PPI EMPLOYEE BENEFITS CORPORATION

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/1996

Series 63

Date: 11/6/1992

SIE

Date: 10/1/2018

Series 6

Date: 9/26/1992

Series 26

Date: 1/24/1997

FINRA

Current Firm

USI ADVISORS

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

USI ADVISORS

TRUST BUT VERIFY

Contact information

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