GT
Gregory G. Theis
USA FINANCIAL SECURITIES LLC
Homer Glen, IL 60491
Some features on this profile are disabled
CRD#: 3259828
GT
Professional summary
Gregory G Theis, ChFC®, CLU®, who also goes by Gregory Gerard Theis, is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Homer Glen, Illinois.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Gregory has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory Gerard Theis
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.
1)LEGACY FINANCIAL SERVICES; 13516 S PARKER RD HOMER GLEN, IL 60491; INVESTMENT AND INSURANCE PLANNING; INSURANCE, ANNUITIES SALES AND FINANCIAL PLANNING. 60 HRS/MO DURING TRADING HOURS.
2)FPA OF ILLINOIS CHAPTER INC. - NAPERVILLE, IL. FPA OAK BROOK BOARD MEMBER. STARTED 01/1990. DIRECTOR OF THE WEST SUBURBAN COUNCIL. EDUCATIONAL INVESTMENT RELATED PRESENTATIONS. FINANCIAL PLANNING EDUCATION 1HR DEVOTED DURING TRADING HOURS.
3)ADVISOR CONTROLS - 13516 S. PARKER RD., HOMER GLEN, IL 60491. FINANCIAL TECHNOLOGY AND MARKETING. STARTED 05/2019. PARTNER. OFFERING ONLINE SUBSCRIPTION FOR FINANCIAL PLANNING MARKETING SOFTWARE. 2HRS DEVOTED DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory G Theis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory G Theis'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®
Experience
Current
February 20, 2017 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 13516 S. Parker Rd., Homer Glen, IL 60491Office #2: 15512 Cicero Ave Ste 105 & 106, Oak Forest, IL 60452RIA
BD
CRD#: 103857
Homer Glen, IL
Current
February 20, 2017 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 13516 S. Parker Rd., Homer Glen, IL 60491Office #2: 15512 Cicero Ave Ste 105 & 106, Oak Forest, IL 60452RIA
BD
CRD#: 103857
Homer Glen, IL
Past
January 15, 2004 - February 21, 2017
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
HOMER GLEN, IL
Past
January 5, 2004 - February 21, 2017
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
HOMER GLEN, IL
Past
February 11, 2002 - January 29, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
September 19, 2000 - February 28, 2002
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
July 13, 1999 - September 7, 2000
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
July 13, 1999 - September 7, 2000
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
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".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
Arizona(4/5/2017)
IAR
Arizona(7/24/2017)
RR
Colorado(2/20/2017)
IAR
Colorado(2/20/2017)
IAR
District of Columbia(9/7/2022)
RR
Florida(2/20/2017)
IAR
Florida(2/21/2017)
RR
Georgia(2/20/2017)
IAR
Georgia(1/8/2019)
RR
Illinois(2/20/2017)
IAR
Illinois(2/20/2017)
RR
Indiana(2/20/2017)
IAR
Indiana(12/10/2020)
RR
Iowa(9/18/2018)
IAR
Iowa(11/9/2020)
RR
Kansas(2/20/2017)
IAR
Kansas(2/20/2017)
RR
Michigan(8/5/2020)
IAR
Michigan(8/5/2020)
RR
Missouri(2/20/2017)
IAR
Missouri(9/30/2021)
RR
Nevada(3/2/2018)
RR
North Carolina(2/20/2017)
IAR
North Carolina(2/20/2017)
RR
South Carolina(2/20/2017)
IAR
South Carolina(2/20/2017)
RR
Tennessee(12/1/2021)
RR
Texas(2/20/2017)
IAR
Texas(7/23/2021)
IAR
Wisconsin(8/19/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USA FINANCIAL LLC | OWNER | |
| BACHERT, WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | 4576698 |
| ENDERS, BRENT DAVID | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | 2858719 |
| MCCONNELL, JAMES CARROLL JR | CHIEF OPERATIONS OFFICER | 4679140 |
| MERSMAN, MARK ROBERT | CHIEF MARKETING OFFICER | 4702400 |
| THOMASON, DAWN M | CHIEF COMPLIANCE OFFICER | 5275125 |
| WALTERS, MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | 2580592 |
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 301,510,438 |
Disclosures
| Regulatory Event | 4 |
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.
