Stacy A. Siewert
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.
Stacy Ann Siewert, who also goes by Stacy Ann Windust, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 1992. Stacy had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2020 - December 31, 2022
USI SECURITIES, INC.
August 20, 2015 - August 14, 2019
J.P. MORGAN SECURITIES LLC
December 16, 2013 - December 23, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 18, 2009 - February 26, 2013
EMPOWER FINANCIAL SERVICES, INC.
June 2, 2004 - February 23, 2009
VOYA FINANCIAL PARTNERS, LLC
March 5, 1997 - August 29, 1999
SIGNATOR FINANCIAL SERVICES, INC.
October 12, 1994 - January 22, 1997
VOYA FINANCIAL PARTNERS, LLC
October 13, 1992 - September 20, 1994
SIGNATOR FINANCIAL SERVICES, INC.
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
Current 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 |
| 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
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