Bart E. Ballinger

USI ADVISORS

Los Angeles, CA 90017

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CRD#: 2304993

Professional summary

Bart Edward Ballinger, who also goes by Bart E Ballinger, is a registered financial advisor currently at USI ADVISORS located in Los Angeles, California and USI SECURITIES, INC. located in Glastonbury, Connecticut.

Bart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Bart has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bart E Ballinger

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 Bart Edward Ballinger'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®

None

Experience

Current

August 24, 2021 - Present

USI ADVISORS

Office #1: 777 South Figueroa Street Suite 2100, Los Angeles, CA 90017

RIA

CRD#: 108113

Los Angeles, CA

Current

April 17, 2018 - Present

USI SECURITIES, INC.

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

RIA

CRD#: 43793

Glastonbury, CT

Past

November 30, 2017 - March 16, 2018

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

September 2, 2014 - January 25, 2016

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

LA CANADA, CA

Past

November 12, 2009 - September 2, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

LA CANADA, CA

Past

April 5, 2007 - August 21, 2009

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

November 29, 2002 - March 30, 2007

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

LOS ANGELES, CA

Past

May 2, 2001 - November 29, 2002

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

June 21, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

March 9, 2000 - April 6, 2000

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

October 27, 1995 - September 30, 1998

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

September 3, 1993 - October 13, 1995

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

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

California
(4/17/2018)

IAR

California
(8/24/2021)

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 66

Date: 8/24/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/2/1993

Investment Company Products/Variable Contracts Representative 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.

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Advisor Monitoring

Firm Stability Insights

Bart E. Ballinger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bart Edward Ballinger's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

MANNING & NAPIER INVESTOR SERVICES, INC.

EMPOWER FINANCIAL SERVICES, INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

ALLSPRING FUNDS DISTRIBUTOR, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

BNY MELLON SECURITIES CORPORATION

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2021

Series 63

Date: 10/15/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/8/2000

Series 6

Date: 9/2/1993

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

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