Kimberly A. Youngerman
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.
Kimberly Ann Youngerman, who also goes by Kimberly Ann Schmuck, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1993. Kimberly had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2024 - March 3, 2026
USI SECURITIES, INC.
May 17, 2024 - March 3, 2026
USI SECURITIES, INC.
March 4, 2019 - August 27, 2021
MISSIONSQUARE WEALTH MANAGEMENT
January 2, 2013 - September 5, 2018
MML DISTRIBUTORS, LLC
January 1, 2009 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
February 26, 2008 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
March 26, 2003 - May 22, 2006
METROPOLITAN LIFE INSURANCE COMPANY
March 26, 2003 - June 2, 2006
MSI FINANCIAL SERVICES, INC.
May 8, 2002 - March 5, 2003
M&I FINANCIAL ADVISORS, INC
January 12, 2001 - April 10, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 12, 2001 - April 10, 2002
OSAIC FA, INC.
May 19, 2000 - January 5, 2001
COREBRIDGE CAPITAL SERVICES, INC.
May 27, 1993 - March 29, 2000
METROPOLITAN LIFE INSURANCE COMPANY
May 27, 1993 - March 29, 2000
MSI 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
Series 7TO
Date: 1/22/2024
General Securities 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
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.
