BB
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
67 advisors
Number of Clients
1,340 clients
Average Client Portfolio
$36.5M average
Assets Under Management
$48.9B
Fee Structure
Fees for investment services are negotiable and can be a flat dollar fee or a percentage of assets. USI Advisors may calculate and deduct fees directly from client accounts or bill separately. Clients can terminate the agreement with 30 days' written notice. Some scenarios involve the implementation of a minimum fee/charge, which will be specified in the Investment Advisory Agreement.
Areas of Practice
Retirement Planning
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Advisor Information
Office location
777 South Figueroa Street Suite 2100, Los Angeles, CA, 90017
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Usi Advisors
August 2021 - Present · 4 yrs 5 mos
Usi Securities, INC.
April 2018 - Present · 7 yrs 9 mos
Usi Securities, INC. Broker
April 2018 - Present · 7 yrs 9 mos
Previous Registrations
Manning & Napier Investor Services, INC.Broker
November 2017 - March 2018 · 4 mos
Gwfs Equities, INC.Broker
September 2014 - January 2016 · 1 yr 4 mos
J.P. Morgan Institutional Investments INC.Broker
November 2009 - September 2014 · 4 yrs 10 mos
Wells Fargo Funds Distributor, LLCBroker
April 2007 - August 2009 · 2 yrs 4 mos
Wells Fargo Brokerage Services, L.L.C.Broker
November 2002 - March 2007 · 4 yrs 4 mos
Wells Fargo Investments, LLCBroker
May 2001 - November 2002 · 1 yr 6 mos
Wells Fargo Securities INC.Broker
June 2000 - May 2001 · 11 mos
Cigna Financial Services, INC.Broker
March 2000 - April 2000 · 1 mo
Fidelity Investments Institutional Services Company, INC.Broker
October 1995 - September 1998 · 2 yrs 11 mos
The Dreyfus Service Corporation Broker
September 1993 - October 1995 · 2 yrs 1 mo
State Registrations1 state
CA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.