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DF

Deborah W. Frey

USCA SECURITIES LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 1428884
DF

Professional summary

Deborah Willis Frey, who also goes by Deborah K. Willis, Deborah Kay Willis, is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.

Deborah is registered as a RR (Registered Representative) and started their career in finance in 1994. Deborah has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Deborah K. Willis | Deborah Kay Willis

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 Deborah Willis Frey'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

January 3, 2012 - Present

USCA SECURITIES LLC

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

September 11, 2003 - January 5, 2012

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
HOUSTON, TX
Past

September 27, 2002 - September 12, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 1, 2002 - March 22, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

April 7, 1999 - October 22, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 16, 1998 - August 24, 1998

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

January 20, 1994 - June 3, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
California
(11/10/2017)
RR
Colorado
(10/25/2012)
RR
Delaware
(11/10/2017)
RR
Florida
(1/3/2012)
RR
Georgia
(11/10/2017)
RR
Illinois
(11/10/2017)
RR
Kansas
(10/14/2020)
RR
Louisiana
(11/10/2017)
RR
Maryland
(11/10/2017)
RR
Missouri
(10/25/2012)
RR
New Jersey
(1/3/2012)
RR
New Mexico
(11/10/2017)
RR
New York
(10/25/2012)
RR
Oklahoma
(1/3/2012)
RR
Tennessee
(1/3/2012)
RR
Texas
(1/3/2012)
RR
Virginia
(10/25/2012)
RR
Wisconsin
(3/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/23/1995
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: 1/19/1994
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 COMPLIANCE, U.S. CAPITAL WEALTH, LLC6335464
DEJONCKHEERE, KASEY LIZANNCFO, U.S. CAPITAL WEALTH, LLC3071831
HODGES, ELIZABETHCHIEF COMPLIANCE OFFICER5418587
KING, DAVID MICHAELPRESIDENT AND MANAGING PARTNER, U.S. CAPITAL WEALTH, LLC2446459
MARTINEZ, MARGARITA YVETTEPFO/CONTROLLER4724529
MENDENHALL, PATRICK MICHAELMANAGING PARTNER1068809

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

USCA SECURITIES LLC

CRD#: 103789Houston, TX 77027

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