William D. Holland
Professional summary
William David Holland, who also goes by David Holland, is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 1984. William has worked at 7 firms and has passed the Series 7TO, Series 72, SIE, Series 50 and Series 54 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William David Holland's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2013 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027February 4, 1991 - April 12, 2013
COASTAL SECURITIES, INC.
September 4, 1990 - February 6, 1991
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
June 28, 1985 - June 5, 1986
LOVETT MITCHELL WEBB & GARRISON, INC.
January 4, 1984 - June 28, 1985
MASTER SANFORD COON WARD HOLLAND INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2013)
(4/15/2013)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
USCA SECURITIES LLC
CRD#: 103789 / SEC#: , 8-52285
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. CAPITAL WEALTH, LLC | OWNER | |
| BOWLING, ELIZABETH COURTNEY | HEAD OF LEGAL AND COMPLIANCE | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL ADVISORS LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | MANAGING PARTNER | 2446459 |
| MARTINEZ, MARGARITA YVETTE | PFO/CONTROLLER | 4724529 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER/HEAD OF WEALTH MANAGEMENT | 1068809 |
| SURPRENANT, THERESE | LEGAL & REGULATORY COUNSEL |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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