KW
Kimberly J. Wade
USI SECURITIES
Pittsburgh, PA 15222-5409
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CRD#: 7476587
KW
Professional summary
Kimberly J Wade, who also goes by Kimberly Jarboe Wade, is a registered financial advisor currently at USI SECURITIES, INC. located in Pittsburgh, Pennsylvania.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Kimberly has worked at 2 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Insurance License; Adjunct Professor at University of Cincinnati
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly J Wade's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly J Wade'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
August 15, 2023 - Present
USI SECURITIES, INC.
Office #1: 6 Ppg Place Suite 200, Pittsburgh, PA 15222-5409RIA
BD
CRD#: 43793
Pittsburgh, PA
Current
December 14, 2023 - Present
USI SECURITIES, INC.
Office #1: 6 Ppg Place Suite 200, Pittsburgh, PA 15222-5409RIA
BD
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.
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
Florida(9/3/2025)
RR
Kentucky(3/15/2024)
IAR
Ohio(8/15/2023)
RR
Ohio(2/13/2024)
RR
Oklahoma(9/4/2025)
RR
Pennsylvania(1/14/2025)
IAR
Pennsylvania(1/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/14/2023
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.
