RB
Richard C. Bowman
USI SECURITIES
Glastonbury, CT 06033
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CRD#: 2356525
RB
Professional summary
Richard Charles Bowman, who also goes by Charlie Bowman, Rich Bowman, is a registered financial professional currently at USI SECURITIES, INC. located in Glastonbury, Connecticut.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 28, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charlie Bowman | Rich Bowman
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Charles Bowman'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®
NoneExperience
Current
June 30, 2003 - Present
USI SECURITIES, INC.
Office #1: 95 Glastonbury Blvd Suite 102, Glastonbury, CT 06033RIA
BD
CRD#: 43793
Glastonbury, CT
Past
July 25, 1996 - June 23, 2003
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
July 30, 1993 - July 18, 1996
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, 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".
US
USI SECURITIES, INC.
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
RIA
Registered Investment Advisory firm - SEC (6/4/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/4/2010)
RR
Alaska(1/4/2010)
RR
Arizona(1/4/2010)
RR
Arkansas(1/4/2010)
RR
California(8/3/2009)
RR
Colorado(1/4/2010)
RR
Connecticut(6/30/2003)
RR
Delaware(1/4/2010)
RR
District of Columbia(1/4/2010)
RR
Florida(8/3/2009)
RR
Georgia(1/4/2010)
RR
Hawaii(1/4/2010)
RR
Idaho(1/4/2010)
RR
Illinois(8/3/2009)
RR
Indiana(1/4/2010)
RR
Iowa(1/4/2010)
RR
Kansas(1/4/2010)
RR
Kentucky(1/4/2010)
RR
Louisiana(8/3/2009)
RR
Maine(1/4/2010)
RR
Maryland(8/3/2009)
RR
Massachusetts(8/3/2009)
RR
Michigan(1/4/2010)
RR
Minnesota(1/4/2010)
RR
Mississippi(1/4/2010)
RR
Missouri(1/4/2010)
RR
Montana(1/4/2010)
RR
Nebraska(1/4/2010)
RR
Nevada(1/4/2010)
RR
New Hampshire(1/4/2010)
RR
New Jersey(1/4/2010)
RR
New Mexico(8/3/2009)
RR
New York(8/3/2009)
RR
North Carolina(1/13/2010)
RR
North Dakota(1/4/2010)
RR
Ohio(8/10/2009)
RR
Oklahoma(1/4/2010)
RR
Oregon(1/4/2010)
RR
Pennsylvania(8/3/2009)
RR
Rhode Island(1/4/2010)
RR
South Carolina(1/4/2010)
RR
South Dakota(1/4/2010)
RR
Tennessee(8/3/2009)
RR
Texas(8/3/2009)
RR
Utah(1/4/2010)
RR
Vermont(1/4/2010)
RR
Virginia(8/3/2009)
RR
Washington(1/4/2010)
RR
West Virginia(1/4/2010)
RR
Wisconsin(1/4/2010)
RR
Wyoming(1/4/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 3/29/2021
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
US
USI SECURITIES, INC.
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
RIA
Registered Investment Advisory firm - SEC (6/4/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033
Mailing Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033
Phone number
(860) 652-3239
Established
Delaware since 07/29/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
25
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
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.
