Michael W. Baron

USI ADVISORS

GLASTONBURY, CT 06033

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CRD#: 2807818

Professional summary

Michael William Baron is a registered financial advisor currently at USI ADVISORS located in Glastonbury, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael William Baron'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

November 15, 2024 - Present

USI ADVISORS

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

RIA

CRD#: 108113

GLASTONBURY, CT

Past

April 4, 2022 - July 19, 2024

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Hartford, CT

Past

May 18, 2009 - April 4, 2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

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".

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/15/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/15/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/15/2009

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/29/2012

Investment Company Products/Variable Contracts Principal Examination

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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Firm Stability Insights

Michael W. Baron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael William Baron's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2024

Series 63

Date: 6/1/2009

SIE

Date: 10/1/2018

Series 6

Date: 5/15/2009

Series 26

Date: 8/29/2012

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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