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Michael William Baron

Usi Advisors

Glastonbury, CT

Glastonbury, CT

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Current Employers
Usi Advisors

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-11-15
  • CT RA
    APPROVED
    Since 2024-11-15

Branch Locations

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033 • United States

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Hartford CT 04/2009 03/2022
Prudential Investment Management Services, Llc Hartford CT 04/2009 03/2022
Gwfs Equities, Inc. Newark NJ 04/2022 07/2024
Usi Consulting Group Glastonbury CT 09/2024 Present
Usi Advisors Glastonbury CT 09/2024 Present
Unemployed Hartford CT 07/2024 08/2024
  • 04/2009 → 03/2022
    Prudential Insurance Company Of America
    Hartford, CT
  • 04/2009 → 03/2022
    Prudential Investment Management Services, Llc
    Hartford, CT
  • 04/2022 → 07/2024
    Gwfs Equities, Inc.
    Newark, NJ
  • 09/2024 → Present
    Usi Consulting Group
    Glastonbury, CT
  • 09/2024 → Present
    Usi Advisors
    Glastonbury, CT
  • 07/2024 → 08/2024
    Unemployed
    Hartford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-11-15
S63 Uniform Securities Agent State Law Examination 2009-06-01
  • S65 Uniform Investment Adviser Law Examination
    2024-11-15
  • S63 Uniform Securities Agent State Law Examination
    2009-06-01

View on SEC IAPD

Other Firms

USI SECURITIES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
JANNEY MONTGOMERY SCOTT LLC
INTEGRATED WEALTH CONCEPTS LLC
CORNERSTONE PLANNING GROUP
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
INTEGRITY ALLIANCE, LLC.

Other Investors

Daniel Robert Casella
STUART SELLARS WALLACE
JOSEPH MICHAEL MATTIA
DENISE M OBRIEN
JOSEPH FRANK DEROSA
BINDU MUKUNDRAY PATEL
CHRISTOPHER JOHN MARTIN
SARAH J BRUNO

Other Offices

USI SECURITIES, INC. · GLASTONBURY, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Glastonbury, CT
CETERA INVESTMENT ADVISERS LLC · GLASTONBURY, CT
AMERIPRISE FINANCIAL SERVICES, LLC · GLASTONBURY, CT
JANNEY MONTGOMERY SCOTT LLC · Glastonbury, CT
INTEGRATED WEALTH CONCEPTS LLC · GLASTONBURY, CT
CORNERSTONE PLANNING GROUP · Glastonbury, CT
USI ADVISORS · Glastonbury, CT

More in Glastonbury, CT

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