Robert J. Mcintosh
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.
Robert Jason Mcintosh, who also goes by Robert Mcintosh, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 8 firms and has passed the SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2021 - February 25, 2022
USI SECURITIES, INC.
September 12, 2018 - June 4, 2020
MML INVESTORS SERVICES, LLC
April 6, 2016 - October 27, 2016
SIGNATOR INVESTORS, INC.
July 31, 2014 - December 8, 2015
INVESTORS CAPITAL CORP.
June 7, 2011 - March 20, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 1, 2008 - June 14, 2011
MSI FINANCIAL SERVICES, INC.
April 1, 2006 - January 23, 2007
METLIFE INVESTORS DISTRIBUTION COMPANY
June 3, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
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
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.
