CD
Charles T. Dix
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 1286467
CD
Professional summary
Charles Trask Dix is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Austin, Texas and USCA SECURITIES LLC located in Dallas, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 9, Series 10 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) THE LAUREL O DIX & CHARLES TRASK DIX JR EDUCATION TRUST, DALLAS TX, FAMILY TRUST, TRUSTEE, BEGAN 11-23-1999, 10 MINUTES/MONTH, DURING BUSINESS HOURS - INVESTMENTS. 2)OSCAR GRUNWALD TRUST, 3 HRS/MNTH, SOME SECURITIES HRS, START 1995. TRUSTEE; INVESTMENT RELATED; SAN ANTONIO, TX; 3) ACTFIT LLC,NOT INV RELATED, DALLAS, TX, 51% OWNER, START: 9/2013, 15 HOURS PER MONTH/5 DURING TRADING. DUTIES: BUSINESS ADVICE FOR FITNESS & NUTRITION. 4) FINRA ARBITRATOR, INVESTMENT RELATED, NEW YORK, N.Y. START: 4/29/2005, 1 HOUR/MONTH,1 HOUR DURING TRADING. 5) RENTAL PROPERTY; INV RELATED; AUSTIN, TX; 100% OWNERSHIP; START: 01/27/2008; HOURS: 1 PER MONTH - 0 HRS DURING TRADING; DUTIES: LANDLORD - 6) DIX MINERAL & INVESTMENT TRUST, INV RELATED, DALLAS, TX, TRUSTEE, START: 3/2015, 5 HOURS PER MONTH/0 DURING TRADING 7) JOHN T FLUME TRUST, NOT-INVESTMENT RELATED, 6510 BLANCO RD, SAN ANTONIO, TX 78216, TRUSTEE, START DATE 2006, DEVOTE 0 HOURS, TRUSTEE FOR LONG-TIME FAMILY FRIEND. 8) DONZI FLUME TRUST, NOT-INVESTMENT RELATED, 6510 BLANCO RD, SAN ANTONIO, TX 78216, TRUSTEE, START DATE 2006, DEVOTE 0 HOURS, TRUSTEE FOR LONG-TIME FAMILY FRIEND. 9) USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 03/2016; >1 hour/month; 1-8 during trading hours; broker 10)US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; Senior Managing Director; 06/2021; >1 hour/month; 1-8 during trading hours; advisor
CRS (Client Relationship Summary) - RIA
Click below to view Charles Trask Dix'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: 300 West 6th Street Suite 1900, Austin, TX 78701RIA
CRD#: 288199
AUSTIN, TX
Current
March 4, 2016 - Present
USCA SECURITIES LLC
Office #1: 2101 Cedar Springs Rd Suite 1850, Dallas, TX 75201BD
CRD#: 103789
DALLAS, TX
Past
March 4, 2016 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
DALLAS, TX
Past
April 29, 2005 - March 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DALLAS, TX
Past
April 29, 2005 - March 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DALLAS, TX
Past
August 27, 1984 - May 3, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
August 22, 1984 - May 3, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(5/26/2021)
RR
Arizona(3/4/2016)
RR
Arkansas(3/4/2016)
RR
California(3/4/2016)
RR
Colorado(3/4/2016)
RR
Connecticut(1/28/2021)
RR
Delaware(11/5/2019)
RR
District of Columbia(11/30/2016)
RR
Florida(3/4/2016)
RR
Georgia(3/4/2016)
RR
Illinois(3/4/2016)
RR
Indiana(6/1/2021)
RR
Iowa(7/16/2021)
RR
Kansas(3/4/2016)
RR
Kentucky(11/30/2016)
RR
Louisiana(8/8/2023)
RR
Maine(11/30/2016)
RR
Maryland(6/13/2019)
RR
Michigan(11/30/2016)
RR
Mississippi(2/8/2024)
RR
Missouri(3/4/2016)
RR
Montana(6/5/2018)
RR
Nevada(10/10/2017)
RR
New Hampshire(2/4/2021)
RR
New Jersey(3/4/2016)
RR
New Mexico(11/30/2016)
RR
New York(3/4/2016)
RR
North Carolina(11/30/2016)
RR
Ohio(11/30/2016)
RR
Oklahoma(3/4/2016)
RR
Oregon(3/4/2016)
RR
Pennsylvania(11/30/2016)
RR
Rhode Island(1/21/2020)
RR
South Carolina(11/30/2016)
RR
Tennessee(11/30/2016)
RR
Texas(3/4/2016)
IAR
Texas(6/30/2021)
RR
Utah(3/4/2016)
RR
Virginia(11/30/2016)
RR
Washington(3/4/2016)
RR
Wisconsin(6/30/2021)
RR
Wyoming(11/30/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/6/1991
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 5/6/1991
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
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.
