John David Fitzgerald
Professional Summary
John David Fitzgerald is a registered financial advisor currently at USI SECURITIES, INC. located in Woburn, Massachusetts. John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
USI SECURITIES, INC.
Contact Information
Main Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033Mailing Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033Phone Number
(860) 652-3239Established
Delaware since 07/29/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
30SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
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 |
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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.
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Primary Firm SEC Registration
USI SECURITIES, INC.
State Registrations and Notice Filings
(1/2/2020)
(1/2/2020)
(10/25/2019)
(7/9/2020)
(1/2/2020)
(1/2/2020)
(11/5/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1997About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Feb 1999About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view John David Fitzgerald's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John David Fitzgerald's CRS (Customer Relationship Summary).
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