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AB

Annamaria Batory

USI SECURITIES
Glastonbury, CT 06033
Some features on this profile are disabled
CRD#: 5120705
AB

Professional summary

Annamaria Batory, who also goes by Anna Maria Batory, Annamaria Batory, Annamaria Cercone, is a registered financial professional currently at USI SECURITIES, INC. located in Glastonbury, Connecticut.

Annamaria is registered as a RR (Registered Representative) and started their career in finance in 2006. Annamaria has worked at 5 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anna Maria Batory | Annamaria Batory | Annamaria Cercone

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) - BD

Click below to view Annamaria Batory's CRS (Customer Relationship Summary).
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

March 12, 2026 - Present

USI SECURITIES, INC.

Office #1: 95 Glastonbury Blvd Suite 102, Glastonbury, CT 06033
RIA
BD
CRD#: 43793
Glastonbury, CT
Past

April 22, 2019 - March 25, 2021

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

December 16, 2016 - April 1, 2019

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
Windsor, CT
Past

April 22, 2015 - December 16, 2016

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

April 21, 2014 - April 7, 2015

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
HARTFORD, CT
Past

September 1, 2006 - March 11, 2014

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
BLOOMFIELD, 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".
US
USI SECURITIES, INC.
USI SECURITIES, INC.

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

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

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
Connecticut
(3/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/20/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/20/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/31/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

US
USI SECURITIES, INC.
USI SECURITIES, INC.

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

RIA
Registered Investment Advisory firm - SEC (6/4/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
25

SEC notice filing (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
USIC INVESTMENT GROUP INC.SHAREHOLDER
BOWMAN, RICHARD CHARLESFINOP, DIRECTOR OF OPERATIONS2356525
CURLEY, MARYSECRETARY8207294
GRITZER, JOSEPH JOHN JRPRESIDENT2162679
KAPPUS, DAVID LTREASURER6837749
O'ROURKE, MICHAEL DENNISVICE PRESIDENT -COMPLIANCE & OPERATIONS1551838
ROBIDOUX, MELINDA MCDONALDCHIEF COMPLIANCE OFFICER2848093
TREMKO, WILLIAM MICHAELCHIEF EXECUTIVE OFFICER4495149

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.

Company Information

USI SECURITIES, INC.

CRD#: 43793Glastonbury, CT 06033

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