JF
John D. Fitzgerald
USI SECURITIES
Woburn, MA 01801
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CRD#: 2673880
JF
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Conveyor Belt, Inc. Start date: 12.01.2020. 37 Willard St, Ste 361 Quincy, MA 02169. Education & Skills Enhancement. Owner/Personal - Guidance and Strategic Planning. 5 Hours per Month - not during trading hours. Raising or soliciting of funds or gifts.
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).
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
July 9, 2020 - Present
USI SECURITIES, INC.
Office #1: 12 Gill Street Suite 5500, Woburn, MA 01801RIA
BD
CRD#: 43793
Woburn, MA
Current
October 25, 2019 - Present
USI SECURITIES, INC.
Office #1: 12 Gill Street Suite 5500, Woburn, MA 01801RIA
BD
CRD#: 43793
Woburn, MA
Past
December 17, 2010 - August 21, 2013
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
October 31, 2007 - January 7, 2019
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
March 18, 1998 - January 7, 2019
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
May 8, 1997 - January 1, 2002
MANUFACTURERS SECURITIES SERVICES, LLC
BD
CRD#: 16009
BOSTON, MA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Connecticut(1/2/2020)
RR
Maine(1/2/2020)
RR
Massachusetts(10/25/2019)
IAR
Massachusetts(7/9/2020)
RR
New Hampshire(1/2/2020)
RR
Rhode Island(1/2/2020)
RR
Texas(11/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/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
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Company Information
USI SECURITIES, INC.
CRD#: 43793Woburn, MA 01801TRUST BUT VERIFY
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