PM
Patrick M. Mendenhall
U.S. CAPITAL WEALTH ADVISORS
Houston, TX 77027
Some features on this profile are disabled
CRD#: 1068809
PM
Professional summary
Patrick Michael Mendenhall is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Houston, Texas and USCA SECURITIES LLC located in Dallas, Texas.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Patrick has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. OSU FOUNDATION, INVESTMENT-RELATED, CORVALLIS, OR, NON-PROFIT UNIVERSITY FOUNDATION, TRUSTEE ON FOUNDATION INVESTMENT COMMITTEE BOARD, 2009, DEVOTE 2 HRS PER MONTH, DEVOTE 0 HRS PER MONTH DURING SECURITIES TRADING HRS. 2. MENDENHALL FAMILY RANCH, NON-INVESTMENT RELATED, BRENHAM, TX, 2007, DEVOTE 0 HRS DURING SECURITIES TRADING HRS, 100% OWNER OF FAMILY RANCH. 3. Mendenhall P25 LLC, Investment-related, Houston, TX, Hold private investment, Managing Member, 4/18, >1 hr/month, none during market hours 4. BC25 Partners LLC; Investment-related; Houston, TX; Limited partner; 2015; 0 hours/month; 0 hours during trading hours 5. BC25 Partners II LLC; Investment-related; Houston, TX; Limited partner; 2015; 0 hours/month; 0 hours during trading hours 6. Mendenhall TF, LLC; Investment-related; Houston, TX; Limited partner; 2014; 0 hours/month; 0 hours during market hours 7. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 10/2009; >1 hour/month; 1-8 during trading hours; broker 8. US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; managing partner; 06/2021; >1 hour/month; 1-8 during trading hours; advisor
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Michael Mendenhall's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 4444 Westheimer Rd Suite G500, Houston, TX 77027RIA
CRD#: 288199
Houston, TX
Current
April 20, 2010 - Present
USCA SECURITIES LLC
Office #1: 2101 Cedar Springs Rd Suite 1850, Dallas, TX 75201Office #2: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
DALLAS, TX
Past
May 26, 2016 - August 24, 2021
USCA ASSET MANAGEMENT LLC
RIA
CRD#: 137045
HOUSTON, TX
Past
January 6, 2010 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
August 16, 1990 - August 17, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
August 16, 1990 - August 17, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
May 22, 1989 - August 21, 1990
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 22, 1986 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
January 13, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
December 23, 1983 - January 31, 1986
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
October 20, 1982 - December 21, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UC
U.S. CAPITAL WEALTH ADVISORS, LLC
LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
RIA
Registered Investment Advisory firm - (5/3/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/8/2010)
RR
Alaska(5/13/2014)
RR
Arizona(10/29/2010)
RR
Arkansas(10/13/2010)
RR
California(8/25/2010)
RR
Colorado(10/18/2010)
RR
Connecticut(8/26/2010)
RR
Delaware(10/27/2010)
RR
District of Columbia(12/6/2010)
RR
Florida(8/26/2010)
RR
Georgia(1/7/2011)
RR
Hawaii(11/1/2010)
RR
Idaho(10/4/2010)
RR
Illinois(8/24/2010)
RR
Indiana(12/14/2010)
RR
Iowa(1/5/2011)
RR
Kansas(1/21/2011)
RR
Kentucky(5/25/2011)
RR
Louisiana(10/7/2010)
RR
Maine(3/24/2011)
RR
Maryland(8/25/2010)
RR
Massachusetts(9/3/2010)
RR
Michigan(2/4/2011)
RR
Minnesota(11/24/2010)
RR
Mississippi(10/18/2010)
RR
Missouri(2/4/2011)
RR
Montana(5/13/2014)
RR
Nevada(1/7/2011)
RR
New Hampshire(8/26/2010)
RR
New Jersey(8/25/2010)
RR
New Mexico(11/24/2010)
RR
New York(8/24/2010)
RR
North Carolina(10/7/2010)
RR
Ohio(12/7/2010)
RR
Oklahoma(10/1/2010)
RR
Oregon(10/12/2010)
RR
Pennsylvania(12/10/2010)
RR
Puerto Rico(11/14/2024)
RR
Rhode Island(8/25/2010)
RR
South Carolina(10/27/2010)
RR
South Dakota(11/24/2014)
RR
Tennessee(8/27/2010)
RR
Texas(4/28/2010)
IAR
Texas(6/30/2021)
RR
Utah(10/4/2010)
RR
Vermont(2/10/2011)
RR
Virgin Islands(1/13/2011)
RR
Virginia(10/4/2010)
RR
Washington(10/1/2010)
RR
West Virginia(10/24/2010)
RR
Wisconsin(1/27/2011)
RR
Wyoming(10/25/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/19/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
UC
U.S. CAPITAL WEALTH ADVISORS, LLC
LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
RIA
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Contact information
Main Address
4444 Westheimer Rd. Suite G500, Houston, TX 77027
Mailing Address
Phone number
(713) 366-0500
Established
Firm type
Fiscal year end
# of Employees
133
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,833 |
| AUM (Assets Under Management) | $ 7,282,480,817 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 01/23/2024 | ||
| 03/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
