JB
Jack E. Ballinger
USI SECURITIES
Irvine, CA 92618
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CRD#: 7215383
JB
Professional summary
Jack Edward Ballinger is a registered financial advisor currently at USI SECURITIES, INC. located in Irvine, California.
Jack is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Jack has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view Jack Edward Ballinger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jack Edward Ballinger'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®
NoneExperience
Current
June 23, 2025 - Present
USI SECURITIES, INC.
Office #1: 7535 Irvine Center Drive Ste 250, Irvine, CA 92618RIA
BD
CRD#: 43793
Irvine, CA
Current
May 22, 2025 - Present
USI SECURITIES, INC.
Office #1: 7535 Irvine Center Drive Ste 250, Irvine, CA 92618RIA
BD
CRD#: 43793
Irvine, CA
Past
July 12, 2022 - May 8, 2025
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
ATLANTA, GA
Past
November 9, 2020 - July 5, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
Past
February 28, 2020 - October 27, 2020
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
PHOENIX, AZ
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".
US
USI SECURITIES, INC.
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
RIA
Registered Investment Advisory firm - SEC (6/4/1999 Approved)BD
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.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
California(5/22/2025)
IAR
California(6/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/16/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/28/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
US
USI SECURITIES, INC.
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
RIA
Registered Investment Advisory firm - SEC (6/4/1999 Approved)BD
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
25
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
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.
