Stephen G. Hines
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Gerard Hines, who also goes by Steve Hines, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2021 - December 4, 2024
U.S. CAPITAL WEALTH ADVISORS, LLC
January 21, 2016 - June 30, 2021
USCA RIA LLC
January 21, 2016 - December 4, 2024
USCA SECURITIES LLC
October 30, 2015 - February 5, 2016
LPL FINANCIAL LLC
October 30, 2015 - February 5, 2016
LPL FINANCIAL LLC
January 7, 2004 - December 31, 2015
AMEGY INVESTMENTS, INC.
May 13, 2003 - January 22, 2016
AMEGY INVESTMENTS, INC.
May 30, 2001 - May 15, 2003
FISERV INVESTOR SERVICES, INC.
June 12, 2000 - May 29, 2001
J.P. MORGAN SECURITIES OF TEXAS, INC.
April 14, 2000 - June 23, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 20, 1999 - June 20, 2000
WELLS FARGO SECURITIES INC.
May 13, 1993 - December 15, 1999
J.P. MORGAN SECURITIES OF TEXAS, INC.
April 16, 1991 - May 13, 1993
TEXAS COMMERCE BROKERAGE
April 5, 1988 - January 11, 1991
AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.
October 19, 1983 - December 31, 1990
ADVANTAGE CAPITAL CORPORATION
Primary Firm SEC Registration
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
Contact information
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.
