NM
Nicholas R. Moore
USI SECURITIES
Blue Bell, PA 19422-2239
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CRD#: 7522651
NM
Professional summary
Nicholas Ryan Moore is a registered financial advisor currently at USI SECURITIES, INC. located in Blue Bell, Pennsylvania.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 1 firm and has passed the Series 63, Series 65, 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 Nicholas Ryan Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Ryan Moore'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
May 23, 2022 - Present
USI SECURITIES, INC.
Office #1: 1787 Sentry Parkway West Veva 16 Ste 300, Blue Bell, PA 19422-2239RIA
BD
CRD#: 43793
Blue Bell, PA
Current
October 20, 2022 - Present
USI SECURITIES, INC.
Office #1: 95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033RIA
BD
CRD#: 43793
Glastonbury, CT
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
Colorado(1/17/2025)
RR
District of Columbia(1/30/2024)
RR
Florida(10/27/2025)
RR
Maryland(6/13/2024)
RR
Massachusetts(5/5/2025)
RR
New York(10/13/2023)
RR
North Carolina(4/16/2025)
IAR
Pennsylvania(5/23/2022)
RR
Pennsylvania(12/15/2022)
RR
Virginia(3/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/20/2022
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.
