Robin J. Ricci

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CRD#: 4572348

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robin Jean Ricci, who also goes by Robin Jean Luongo, was a registered financial professional .

Robin is a previously registered financial professional and started their career in finance in 2002. Robin had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robin Jean Luongo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 26, 2019 - July 7, 2020

USI SECURITIES, INC.

CRD#: 43793

GLASTONBURY, CT

Past

December 15, 2016 - September 1, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

September 14, 2016 - September 5, 2017

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

July 1, 2011 - July 1, 2016

NEWEDGE SECURITIES, LLC

CRD#: 10674

WEST HARTFORD, CT

Past

September 10, 2002 - June 30, 2011

ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443

WEST 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 SECURITIES, INC.

CRD#: 43793 / SEC#: 801-56578, 8-50429

RIA

Registered Investment Advisory firm - SEC (6/4/1999 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 11/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/9/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

USI SECURITIES, INC.

CRD#: 43793 / SEC#: 801-56578, 8-50429

RIA

Registered Investment Advisory firm - SEC (6/4/1999 Approved)

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

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USI SECURITIES, INC. - RIA - FORM ADV PART 2A (3/28/2025)

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.

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Firm Stability Insights

Robin J. Ricci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

EQUITABLE DISTRIBUTORS, LLC

NEWEDGE SECURITIES, LLC

ENSEMBLE FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

USI SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/2002

SIE

Date: 9/5/2017

Series 6

Date: 9/9/2002

Current Firm

USI SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

USI SECURITIES, INC.

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