Thomas A. Braile

USI ADVISORS

Phoenix, AZ 85016

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CRD#: 4872723

Professional summary

Thomas Adam Braile, AIF®, who also goes by Tom Adam Braile, is a registered financial advisor currently at USI ADVISORS located in Phoenix, Arizona and USI SECURITIES, INC. located in Phoenix, Arizona.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Adam Braile

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 Thomas Adam Braile'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 8, 2021 - Present

USI ADVISORS

Office #1: 2375 E. Camelback Road Suite 250, Phoenix, AZ 85016

RIA

CRD#: 108113

Phoenix, AZ

Current

March 25, 2021 - Present

USI SECURITIES, INC.

Office #1: 2375 E Camelback Rd Suite 250, Phoenix, AZ 85016

RIA

CRD#: 43793

Phoenix, AZ

Past

April 17, 2019 - December 16, 2020

HOHIMER WEALTH MANAGEMENT, LLC

RIA

CRD#: 300140

SEATTLE, WA

Past

February 19, 2009 - April 18, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEATTLE, WA

Past

February 19, 2009 - April 18, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEATTLE, WA

Past

February 5, 2008 - March 4, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

February 5, 2008 - March 4, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

July 12, 2007 - January 15, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

May 10, 2007 - January 15, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SEATTLE, WA

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.

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

Arizona
(3/25/2021)

IAR

Arizona
(4/8/2021)

California
(9/6/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/9/2007

General Securities Representative Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Thomas A. Braile

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Adam Braile's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

HOHIMER WEALTH MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2007

FINRA

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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