David R. Black

USA FINANCIAL SECURITIES LLC

Bangor, ME 04401

Some features on this profile are disabled

CRD#: 5361167

Professional summary

David Rodney Black, AIF®, who also goes by Rod Black, is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Bangor, Maine.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rod Black

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) BANGOR WEALTH MANAGEMENT - 6 STATE STREET SUITE 310, BANGOR, MAINE 04401. START DATE 04/08/2016. OWNER AND FINANCIAL ADVISOR . SALE OF INSURANCE AND ANNUITIES TO CLIENTS. INVESTMENT RELATED. 50 HOURS PER MONTH ARE DEVOTED TO BUSINESS. 3 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Rodney Black's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Rodney Black'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 15, 2021 - Present

USA FINANCIAL SECURITIES LLC

Office #1: 6 State St. Ste 310, Bangor, ME 04401Office #2: 6020 East Fulton Street, Ada, MI 49301

RIA

CRD#: 103857

Bangor, ME

Current

March 15, 2021 - Present

USA FINANCIAL SECURITIES LLC

Office #1: 6 State St. Ste 310, Bangor, ME 04401Office #2: 6020 East Fulton, Ada, MI 49301

RIA

CRD#: 103857

Bangor, ME

Past

April 8, 2016 - March 23, 2021

CANTELLA & CO., INC.

RIA

CRD#: 13905

Bangor, ME

Past

April 8, 2016 - March 23, 2021

CANTELLA & CO., INC.

CRD#: 13905

Bangor, ME

Past

March 25, 2015 - April 13, 2016

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BANGOR, ME

Past

July 13, 2007 - April 13, 2016

OSAIC WEALTH, INC.

CRD#: 23131

BANGOR, ME

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".

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(3/15/2021)

Florida
(3/15/2021)

IAR

Florida
(3/26/2024)

Maine
(3/15/2021)

IAR

Maine
(3/15/2021)

Massachusetts
(4/29/2021)

IAR

Massachusetts
(5/25/2021)

Montana
(3/15/2021)

North Carolina
(9/2/2022)

Ohio
(3/15/2021)

Rhode Island
(3/15/2021)

IAR

Rhode Island
(3/26/2024)

Texas
(3/15/2021)

Utah
(3/15/2021)

Virginia
(6/17/2021)

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 65

Date: 3/2/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USA FINANCIAL SECURITIES PART 2A BROCHURE (9/22/2025)

USA FINANCIAL SECURITIES WRAP FEE BROCHURE (3/27/2025)

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

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

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David R. Black

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Rodney Black's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Rodney Black's CRS (Customer Relationship Summary).

Certified licenses

Experience

USA FINANCIAL SECURITIES LLC

CANTELLA & CO., INC.

CANTELLA & CO., INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

USA FINANCIAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2015

Series 63

Date: 7/31/2007

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2007

FINRA

Current Firm

USA FINANCIAL SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

USA FINANCIAL SECURITIES LLC

TRUST BUT VERIFY

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