Nicholas M. Ricciardi

USI SECURITIES

Florham Park, NJ 07932

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CRD#: 5719254

Professional summary

Nicholas M Ricciardi, who also goes by Nicholas Michael Ricciardi, Nicholas Ricciardi, is a registered financial advisor currently at USI SECURITIES, INC. located in Florham Park, New Jersey.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Nicholas has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Michael Ricciardi | Nicholas Ricciardi

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 Nicholas M Ricciardi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas M Ricciardi'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

July 8, 2025 - Present

USI SECURITIES, INC.

Office #1: 180 Park Avenue 1st Floor, Florham Park, NJ 07932

RIA

CRD#: 43793

Florham Park, NJ

Current

April 8, 2025 - Present

USI SECURITIES, INC.

Office #1: 180 Park Avenue 1st Floor, Florham Park, NJ 07932

RIA

CRD#: 43793

Florham Park, NJ

Past

October 22, 2019 - March 19, 2025

ADP BROKER-DEALER, INC.

CRD#: 37693

FLORHAM PARK, NJ

Past

April 24, 2019 - October 10, 2019

PFS INVESTMENTS INC.

CRD#: 10111

MAHWAH, NJ

Past

October 14, 2015 - March 24, 2017

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

NEW YORK, NY

Past

January 16, 2014 - November 12, 2015

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

ROCKVILLE, MD

Past

January 7, 2013 - January 29, 2014

INVESTMENT PLANNERS, INC.

CRD#: 18557

DECATUR, IL

Past

November 24, 2009 - January 8, 2013

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

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 SECURITIES, INC.

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

RIA

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

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.

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

New Jersey
(4/9/2025)

IAR

New Jersey
(7/8/2025)

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: 7/7/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/29/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

USI SECURITIES, INC.

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

RIA

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

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

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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

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

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

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.

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Firm Stability Insights

Nicholas M. Ricciardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas M Ricciardi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas M Ricciardi's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

ADP BROKER-DEALER, INC.

PFS INVESTMENTS INC.

TERRANOVA CAPITAL EQUITIES, INC

CEROS FINANCIAL SERVICES, INC.

INVESTMENT PLANNERS, INC.

HENNION & WALSH, INC.

Primary Firm SEC Registration

USI SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2025

Series 63

Date: 10/29/2019

SIE

Date: 3/24/2017

Series 7

Date: 11/23/2009

FINRA

Current Firm

USI SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

USI SECURITIES, INC.

TRUST BUT VERIFY

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