BF
Brian E. Frick
USA FINANCIAL SECURITIES LLC
Sun City West, AZ 85375
Some features on this profile are disabled
CRD#: 5343524
BF
Professional summary
Brian Edward Frick, CFP® is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Sun City West, Arizona.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) FRICK TAX & FINANCIAL PLLC- 13613 W. CAMINO DEL SOL SUIT 3, SUITE CITY WEST, AZ 85375. START DATE 08/23/2006. OWNER AND OPERATOR. TAX PLANNING/PREPARATION/CPA. MEET WITH CLIENTS, TAX PREP AND PLANNING AND STAFF MANAGEMENT. NOT INVESTMENT RELATED. 86 HOURS PER MONTH DEVOTED TO BUSINESS. 60 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 2) FRICK TAX & FINANCIAL PLLC - 13613 W. CAMINO DEL SOL SUITE 3, SUN CITY WEST, AZ 85375; START DATE 08/2006. MEMBER & MANAGER; PUBLIC ACCOUNTING INCLUDING INCOME TAX PREPERATION AND PLANNING. ALSO LIFE, AND HEALTH INSURANCE SALES INCLUDING ANNUITIES. INVESTMENT RELATED. 4 HOURS DEVOTED DURING SECURITIES TRADING HOURS. 3) AXBERG & FRICK CONSULTING GROUP - 13613 W. CAMINO DEL SOL SUITE 3, SUN CITY WEST, AZ 85375. START DATE 10/25/2023. CO-ORIGINATOR. A MARKETING GROUP FOR ADVERTISING AND SEMINAR PURPOSES. NOT INVESTMENT RELATED. 0 HOURS PER MONTH DEVOTED TO BUSINESS. 0 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 4) AXBERG & FRICK PLLC - 13613 W. CAMINO DEL SOL SUITE 3, SUN CITY WEST, AZ 85375. START DATE 10/25/2023. PARTNER. TAX PLANNING/PREPARATION/CPA. NOT INVESTMENT RELATED. 2 HOURS PER MONTH DEVOTED TO BUSINESS. 1 HOUR PER MONTH DEVOTED DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Edward Frick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Edward Frick'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®
CFP®
Start date: 2012
Experience
Current
November 16, 2017 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 13613 W Camino Del Sol Ste 3, Sun City West, AZ 85375RIA
BD
CRD#: 103857
Sun City West, AZ
Current
November 16, 2017 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 13613 W Camino Del Sol Ste 3, Sun City West, AZ 85375RIA
BD
CRD#: 103857
Sun City West, AZ
Past
May 12, 2008 - November 21, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
SUN CITY WEST, AZ
Past
August 20, 2007 - November 21, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
SUN CITY WEST, AZ
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(11/16/2017)
IAR
Arizona(11/17/2017)
RR
California(11/16/2017)
IAR
California(11/17/2017)
RR
Colorado(11/16/2017)
IAR
Colorado(5/30/2025)
IAR
Florida(9/12/2024)
RR
Idaho(11/16/2017)
IAR
Idaho(11/16/2017)
IAR
Minnesota(10/13/2025)
IAR
Nebraska(4/30/2018)
RR
Nebraska(4/19/2022)
IAR
North Carolina(2/14/2022)
IAR
Ohio(4/27/2020)
RR
Ohio(11/27/2022)
IAR
Texas(3/13/2018)
RR
Texas(11/5/2024)
RR
Virginia(11/16/2017)
IAR
Virginia(5/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
USA FINANCIAL SECURITIES LLC
CRD#: 103857Sun City West, AZ 85375TRUST BUT VERIFY
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