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MW

Marian D. Willoughby

USCA SECURITIES LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 1370899
MW

Professional summary

Marian Desloge Willoughby, who also goes by Marian D Willoughby, Spook Willoughby, is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.

Marian is registered as a RR (Registered Representative) and started their career in finance in 1985. Marian has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marian D Willoughby | Spook Willoughby

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marian Desloge Willoughby's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 16, 2013 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027
BD
CRD#: 103789
Houston, TX
Past

September 11, 2001 - May 1, 2013

COASTAL SECURITIES, INC.

BD
CRD#: 27834
HOUSTON, TX
Past

January 23, 1995 - August 26, 1995

MASTERSON MORELAND SAUER WHISMAN, INC.

BD
CRD#: 16815
Past

September 1, 1994 - November 11, 1994

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

March 4, 1993 - September 1, 1994

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

BD
CRD#: 414
NEW ORLEANS, LA
Past

September 1, 1988 - August 17, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

BD
CRD#: 22540
Past

September 1, 1987 - September 1, 1988

BOETTCHER & COMPANY, INC.

BD
CRD#: 101
Past

May 21, 1987 - September 1, 1987

LOVETT MITCHELL WEBB & GARRISON, INC.

BD
CRD#: 10011
Past

December 17, 1985 - April 23, 1987

ROTAN MOSLE INC.

BD
CRD#: 727

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(4/16/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

US
USCA SECURITIES LLC
LEDGEWOOD CAPITAL MANAGEMENT, LLC | USCA SECURITIES LLC | U.S. CAPITAL WEALTH | U.S. CAPITAL ADVISORS

CRD#: 103789 / SEC#: , 8-52285

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4444 Westheimer Suite G500, Houston, TX 77027
Mailing Address
4444 Westheimer Suite G500, Houston, TX 77027
Phone number
(713) 366-0500
Established
Delaware since 12/16/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
U.S. CAPITAL WEALTH, LLCOWNER
BOWLING, ELIZABETH COURTNEYHEAD OF LEGAL AND COMPLIANCE6335464
DEJONCKHEERE, KASEY LIZANNCFO, U.S. CAPITAL ADVISORS LLC3071831
HODGES, ELIZABETHCHIEF COMPLIANCE OFFICER5418587
KING, DAVID MICHAELMANAGING PARTNER2446459
MARTINEZ, MARGARITA YVETTEPFO/CONTROLLER4724529
MENDENHALL, PATRICK MICHAELMANAGING PARTNER/HEAD OF WEALTH MANAGEMENT1068809
SURPRENANT, THERESELEGAL & REGULATORY COUNSEL

Disclosures

Regulatory Event1
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

USCA SECURITIES LLC

CRD#: 103789Houston, TX 77027

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