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LR

Lisa M. Rios

USI ADVISORS
Rochester, NY 14618
Some features on this profile are disabled
CRD#: 6766790
LR

Professional summary

Lisa Marie Rios, who also goes by Lisa Rios, Lisa Marie Ras, Lisa Marie Rios, is a registered financial advisor currently at USI ADVISORS located in Rochester, New York and USI SECURITIES, INC. located in Rochester, New York.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Lisa has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lisa Rios | Lisa Marie Ras | Lisa Marie Rios

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 Lisa Marie Rios'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®
None

Experience

Current

November 25, 2025 - Present

USI ADVISORS

Office #1: 300 Meridian Centre Suite 340, Rochester, NY 14618
RIA
CRD#: 108113
Rochester, NY
Current

November 25, 2025 - Present

USI SECURITIES, INC.

Office #1: 300 Meridian Centre Suite 100, Rochester, NY 14618
RIA
BD
CRD#: 43793
Rochester, NY
Current

November 4, 2025 - Present

USI SECURITIES, INC.

Office #1: 300 Meridian Centre Suite 100, Rochester, NY 14618
RIA
BD
CRD#: 43793
Rochester, NY
Past

May 22, 2023 - October 21, 2025

PAYCHEX SECURITIES CORPORATION

BD
CRD#: 39733
ROCHESTER, NY
Past

February 1, 2019 - July 27, 2021

PAYCHEX SECURITIES CORPORATION

BD
CRD#: 39733
WEST HENRIETTA, NY
Past

May 26, 2017 - January 3, 2019

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
ROCHESTER, NY

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".
UA
USI ADVISORS
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)

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
New York
(11/4/2025)
IAR
New York
(11/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/25/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/25/2022
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: 5/26/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UA
USI ADVISORS
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)
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Contact information

Main Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033
Mailing Address
Phone number
(860) 633-5283
Established
Firm type
Fiscal year end
# of Employees
77

SEC notice filing (49 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts1,346
AUM (Assets Under Management)$ 48,864,913,348

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 ADVISORS

CRD#: 108113Rochester, NY 14618

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