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Investment Adviser Firm Summary

USI ADVISORS, INC. (CRD# 108113 / SEC# 801-56622)
Alternate Names: USI ADVISORS , USI ADVISORS, INC. , USICG ADVISORS INC , USICG ADVISORS INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/18/1999

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/06/1999
Alaska 05/01/2017
Arizona 01/15/2003
California 06/16/1999
Colorado 03/28/2008
Connecticut 06/15/1999
District of Columbia 07/09/1999
Florida 07/06/1999
Georgia 06/16/1999
Hawaii 11/20/2014
Idaho 05/01/2017
Illinois 06/16/1999
Indiana 03/28/2008
Kansas 03/28/2008
Kentucky 07/15/1999
Louisiana 10/18/2001
Maine 06/22/1999
Maryland 06/17/1999
Massachusetts 06/16/1999
Michigan 03/28/2008
Mississippi 11/16/2000
Missouri 03/28/2008
Montana 05/01/2017
Nebraska 03/28/2008
New Hampshire 07/02/1999
New Jersey 06/23/1999
New York 07/06/1999
North Carolina 03/27/2001
Ohio 08/16/1999
Oklahoma 12/04/2000
Oregon 05/01/2017
Pennsylvania 06/21/1999
Rhode Island 07/22/1999
South Carolina 03/27/2001
Tennessee 07/02/1999
Texas 01/01/2001
Utah 03/24/2016
Vermont 06/30/1999
Virginia 06/16/1999
Washington 03/28/2008
West Virginia 01/01/2001
Wisconsin 04/02/2001

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser