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Stuart Howard Herskowitz

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 2023-10-25
  • CT RA
    APPROVED
    Since 2023-10-25

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
Hooker & Holcombe Bloomfield CT 09/1996 Present
Mid Atlantic Capital Corporation West Hartfold CT 07/2011 12/2017
Pensionmark Securities, Llc Santa Barbara CA 01/2018 10/2023
Usi Consulting Group Glastonbury CT 10/2023 Present
Usi Advisors Glastonbury CT 10/2023 Present
Usi Securities Glastonbury CT 10/2023 Present
  • 09/1996 → Present
    Hooker & Holcombe
    Bloomfield, CT
  • 07/2011 → 12/2017
    Mid Atlantic Capital Corporation
    West Hartfold, CT
  • 01/2018 → 10/2023
    Pensionmark Securities, Llc
    Santa Barbara, CA
  • 10/2023 → Present
    Usi Consulting Group
    Glastonbury, CT
  • 10/2023 → Present
    Usi Advisors
    Glastonbury, CT
  • 10/2023 → Present
    Usi Securities
    Glastonbury, CT
Previous Registrations
  • 1997-02-11 → 2023-12-31
    Hooker & Holcombe Investment Advisors, Inc.
    Glastonbury, CT
  • 2003-10-24 → 2005-12-31
    Ensemble Financial Services, Inc.
    Pittsford, NY
    West Hartford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-11-26
S63 Uniform Securities Agent State Law Examination 1992-11-06
  • S65 Uniform Investment Adviser Law Examination
    1996-11-26
  • S63 Uniform Securities Agent State Law Examination
    1992-11-06
Other Names
  • Stu Herskowitz

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

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