Matthew A Smith
Professional Summary
Matthew A Smith is a registered financial advisor currently at USI SECURITIES, INC. located in Austin, Texas. Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Matthew has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
USI SECURITIES, INC.
Contact Information
Main Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033Mailing Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033Phone Number
(860) 652-3239Established
Delaware since 07/29/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
30SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | — |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| CURLEY, MARY | SECRETARY | 8207294 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| O'ROURKE, MICHAEL DENNIS | VICE PRESIDENT -COMPLIANCE & OPERATIONS | 1551838 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
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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.
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Primary Firm SEC Registration
USI SECURITIES, INC.
State Registrations and Notice Filings
(7/14/2021)
(8/17/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2019About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Matthew A Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew A Smith's CRS (Customer Relationship Summary).
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