USA FINANCIAL SECURITIES LLC of ADA, MI is an SEC-registered investment adviser (CRD 103857). Regulatory assets under management: $296.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Brent David Enders | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | — |
| Michael David Walters | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | — |
| William Clayton Bachert | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | — |
| Mark Robert Mersman | CHIEF MARKETING OFFICER | — |
| James Carroll Jr Mcconnell | CHIEF OPERATIONS OFFICER | — |
| Dawn M Thomason | CHIEF COMPLIANCE OFFICER | — |
| GORZ RICHARD ALLEN | VICE CHAIRMAN OF THE BOARD/FINANCIAL PRINCIPAL (SECONDARY)/MUNICIPAL PRINCIPAL/DIRECTOR | — |
| ENDERS BRENT DAVID | PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004; PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004; PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 (+1 more) | — |
| WALTERS MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996; TRUSTEE/DIRECT OWNER; TRUSTEE/INDIRECT OWNER | — |
| WALTERS GARY GLEN | DIRECTOR/TRUSTEE OF THE GARY G. WALTERS TRUST U/A DTD 11/21/1995; TRUSTEE/DIRECT OWNER; TRUSTEE/INDIRECT OWNER | — |
| BACHERT WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR; FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | — |
| MCGREW ANDREA DENISE STEWART | CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER / DIRECTOR | — |
| MCGREW MATTHEW LEE | CHIEF OPERATIONS OFFICER/IN-HOUSE COUNSEL/DIRECTOR | — |
| MCCONNELL RICHARD ESTERBROOK JR | CHIEF OPERATIONS OFFICER | — |
| STEWART ANDREA DENISE | CHIEF COMPLIANCE OFFICER / IN-HOUSE COUNSEL/DIRECTOR | — |
| BRYSON KENNETH | CHIEF MARKETING OFFICER / DIRECTOR | — |
| MERSMAN MARK ROBERT | CHIEF MARKETING OFFICER | — |
| LONG JUSTIN WADE | CHIEF SALES OFFICER | — |
| EILERS MATTHEW H | CHIEF BUSINESS DEVELOPMENT OFFICER | — |
| THOMASON DAWN M | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-08-03 | regulatory | THE COMMISSION ALLEGED THAT USA FINANCIAL BREACHED ITS FIDUCIARY DUTY IN CONNECTION WITH ITS RECEIPT OF THIRD-PARTY COMPENSATION FROM CLIENT INVESTMENTS WITHOUT FULLY AND FAIRLY DISCLOSING ITS CONFLICTS OF INTEREST. | Final | $249K |
| 2007-02-16 | regulatory | THE STATE OF FLORIDA ALLEGED THAT OUR FIRM FAILED TO PROPERLY REGISTER OUR BRANCH OFFICES PURSUANT TO CHAPTER 517, FLORIDA STATUTES, WHEN BRANCH OFFICE REGISTRATION BECAME AN ELECTRONIC PROCESS VIA THE WEBCRD SYSTEM. OUR FIRM TRIED TO PROPERLY REGISTER OUR BRANCH OFFICES ELECTRONICALLY BY CONTACTING… | Final | $10K |
Showing 15 of 27 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| ST JOSEPH | MI | 6 | 2699821988 |
| COLOMBIA | MO | 5 | 5733027212 |
| LEES SUMMIT | MO | 5 | 5733027212 |
| OSAGE BEACH | MO | 5 | 5733027212 |
| LOUISVILLE | KY | 4 | 5028970021 |
| RED OAK | IA | 4 | 7126235726 |
| MATTHEWS | NC | 4 | 7047085001 |
| ROCKAWAY | NJ | 4 | 9135866558 |
| SAN ANTONIO | TX | 4 | 2109985560 |
| ERIE | PA | 3 | 8148339891 |
| CAMP HILL | PA | 3 | 7173639025 |
| BRIDGEPORT | WV | 3 | 3048426315 |
| SAND SPRINGS | OK | 2 | (918) 245-4012 |
| NEENAH | WI | 2 | 6106304495 |
| NORTH MANKATO | MN | 2 | 5076255800 |