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Matthew A Smith

Usi Securities, Inc.

Austin, TX

Glastonbury, CT

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Current Employers
Usi Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-17
  • TX RA
    APPROVED
    Since 2021-08-17

Branch Locations

7600 C North Capital Of Tx Highway, Suite 200, Austin, TX 78731 • United States

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033 • USA

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
John Hancock Boston MA 06/2015 02/2019
John Hancock Distributors Llc Boston MA 02/2019 Present
Usi Securities, Inc. Glastonbury CT 07/2021 Present
Usi Consulting Group, Inc. Glastonbury CT 07/2021 Present
  • 06/2015 → 02/2019
    John Hancock
    Boston, MA
  • 02/2019 → Present
    John Hancock Distributors Llc
    Boston, MA
  • 07/2021 → Present
    Usi Securities, Inc.
    Glastonbury, CT
  • 07/2021 → Present
    Usi Consulting Group, Inc.
    Glastonbury, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-08-17
S63 Uniform Securities Agent State Law Examination 2018-11-15
  • S65 Uniform Investment Adviser Law Examination
    2021-08-17
  • S63 Uniform Securities Agent State Law Examination
    2018-11-15

View on SEC IAPD

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