Eugene M. Ecklund

Some features on this profile are disabled

CRD#: 75287

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.

Eugene Maurice Ecklund, who also goes by Gene Ecklund, was a registered financial professional .

Eugene is a previously registered financial professional and started their career in finance in 1969. Eugene had worked at 20 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gene Ecklund

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

November 3, 2005 - August 11, 2006

USA FINANCIAL SECURITIES LLC

CRD#: 103857

ADA, MI

Past

November 20, 2003 - August 31, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

November 4, 2002 - December 31, 2003

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

September 7, 2001 - August 22, 2002

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

July 25, 1996 - September 17, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

March 30, 1994 - May 9, 1996

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

April 24, 1992 - November 16, 1993

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

September 9, 1991 - December 31, 1991

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

February 23, 1990 - September 11, 1991

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

August 18, 1988 - December 22, 1989

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

February 10, 1987 - May 25, 1988

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

Past

November 12, 1984 - January 6, 1987

RADFORD CAPITAL CORPORATION

CRD#: 10480

Past

April 26, 1983 - October 29, 1984

CARDELL & ASSOCIATES, INCORPORATED

CRD#: 7700

Past

February 12, 1979 - December 1, 1979

GIBRALTAR SECURITIES CO.

CRD#: 7093

Past

June 15, 1974 - May 4, 1975

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

Past

October 30, 1973 - August 20, 1974

HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY

CRD#: 4291

Past

November 27, 1972 - October 29, 1978

MAYFAIR PLANNING ASSOCIATES

CRD#: 2696

Past

January 6, 1972 - December 20, 1972

P.I.A.A. LIC B/D

CRD#: 1000003

Past

October 27, 1970 - February 19, 1972

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

Past

March 14, 1969 - January 3, 1972

UNITED INVESTMENT SERVICES

CRD#: 3639

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".

USA FINANCIAL SECURITIES LLC

USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA

Registered Investment Advisory firm - SEC (8/24/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (9/12/2007 Terminated)

California

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (9/28/2007 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Delaware

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/11/2007 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kansas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (9/5/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (9/19/2007 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (9/29/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

Series 63

Date: 5/6/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 6/10/1959

Registered Representative Examination

Current Firm

USA FINANCIAL SECURITIES LLC

USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA

Registered Investment Advisory firm - SEC (8/24/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (9/12/2007 Terminated)

California

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (9/28/2007 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Delaware

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/11/2007 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kansas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (8/31/2007 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (9/6/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (9/5/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (9/19/2007 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/24/2007 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (9/29/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (8/30/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6020 East Fulton, Ada, MI 49301

Mailing Address

6020 East Fulton, Ada, MI 49301

Phone number

(888) 407-8198

Established

Delaware since 07/03/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

166

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USA FINANCIAL SECURITIES PART 2A BROCHURE (9/22/2025)

USA FINANCIAL SECURITIES WRAP FEE BROCHURE (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
USA FINANCIAL LLC	OWNER
BACHERT, WILLIAM CLAYTON	CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR	4576698
ENDERS, BRENT DAVID	PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004	2858719
MCCONNELL, JAMES CARROLL JR	CHIEF OPERATIONS OFFICER	4679140
MERSMAN, MARK ROBERT	CHIEF MARKETING OFFICER	4702400
THOMASON, DAWN M	CHIEF COMPLIANCE OFFICER	5275125
WALTERS, MICHAEL DAVID	CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996	2580592

Regulatory assets under management

Total Number of Accounts	1,750
AUM (Assets Under Management)	$ 301,510,438

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Eugene M. Ecklund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

INVESTORS CAPITAL CORP.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

FIRST AFFILIATED SECURITIES

CADARET, GRANT & CO., INC.

1717 CAPITAL MANAGEMENT COMPANY

LCP CAPITAL CORP.

MARQUETTE FINANCIAL GROUP, INC.

RADFORD CAPITAL CORPORATION

CARDELL & ASSOCIATES, INCORPORATED

GIBRALTAR SECURITIES CO.

HIMCO DISTRIBUTION SERVICES COMPANY

HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY

MAYFAIR PLANNING ASSOCIATES

P.I.A.A. LIC B/D

ENTERPRISE FUND DISTRIBUTORS, INC.

UNITED INVESTMENT SERVICES

Primary Firm SEC Registration

USA FINANCIAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1987

Series 1

Date: 6/10/1959

Current Firm

USA FINANCIAL SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

USA FINANCIAL SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors