Brian C. Way

USI SECURITIES

CONCORD, CA 94520

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CRD#: 5861536

Professional summary

Brian Christopher Way is a registered financial advisor currently at USI SECURITIES, INC. located in Concord, California.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Christopher Way's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Christopher Way'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

January 8, 2024 - Present

USI SECURITIES, INC.

Office #1: 1001 Galaxy Way Ste 300, Concord, CA 94520

RIA

CRD#: 43793

CONCORD, CA

Current

January 25, 2023 - Present

USI SECURITIES, INC.

Office #1: 1001 Galaxy Way Ste 300, Concord, CA 94520

RIA

CRD#: 43793

CONCORD, CA

Past

September 28, 2015 - October 15, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

WALNUT CREEK, CA

Past

September 28, 2015 - December 6, 2022

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

WALNUT CREEK, CA

Past

March 14, 2014 - September 18, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WALNUT CREEK, CA

Past

October 20, 2011 - September 18, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WALNUT CREEK, CA

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

California
(1/25/2023)

IAR

California
(1/8/2024)

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 65

Date: 1/8/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/18/2011

Investment Company Products/Variable Contracts 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian C. Way

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Christopher Way's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Christopher Way's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

MUTUAL OF AMERICA SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

USI SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2024

Series 63

Date: 1/30/2012

SIE

Date: 10/1/2018

Series 6

Date: 10/18/2011

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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