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KW

Kimberly J. Wade

Some features on this profile are disabled
CRD#: 7476587
KW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kimberly J Wade, who also goes by Kimberly Jarboe Wade, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2021. Kimberly had worked at 2 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Jarboe Wade

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 14, 2023 - May 18, 2026

USI SECURITIES, INC.

BD
CRD#: 43793
Pittsburgh, PA
Past

August 15, 2023 - May 18, 2026

USI SECURITIES, INC.

RIA
CRD#: 43793
Pittsburgh, PA
Past

December 6, 2021 - January 3, 2023

CERITY PARTNERS OCIO LLC

RIA
CRD#: 151916
Cincinnati, OH

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/3/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/14/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/25/2023
Securities Industry Essentials Examination

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)

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

NamePositionCRD#
USIC INVESTMENT GROUP INC.SHAREHOLDER
BOWMAN, RICHARD CHARLESFINOP, DIRECTOR OF OPERATIONS2356525
CURLEY, MARYSECRETARY8207294
GRITZER, JOSEPH JOHN JRPRESIDENT2162679
KAPPUS, DAVID LTREASURER6837749
O'ROURKE, MICHAEL DENNISVICE PRESIDENT -COMPLIANCE & OPERATIONS1551838
ROBIDOUX, MELINDA MCDONALDCHIEF COMPLIANCE OFFICER2848093
TREMKO, WILLIAM MICHAELCHIEF EXECUTIVE OFFICER4495149

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 SECURITIES, INC.

CRD#: 43793

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