SP
Samuel D. Parker Jr.
U.S. CAPITAL WEALTH ADVISORS
Houston, TX 77027
Some features on this profile are disabled
CRD#: 1583674
SP
Professional summary
Samuel D Parker Jr., who also goes by Sam Parker, Samuel D Parker Jr, Samuel Darby Parker Jr, Samuel Parker, Samuel Darby Parket Jr, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Houston, Texas and USCA SECURITIES LLC located in Austin, Texas.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Samuel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam Parker | Samuel D Parker Jr | Samuel Darby Parker Jr | Samuel Parker | Samuel Darby Parket Jr
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) BAREFOOT MEN, LLC. CAYMAN ISLANDS, KYI-1204. YES - INVESTMENT RELATED. BUSINESS - CONDO RENTAL IN GRAND CAYMEN. TITLE - 1 OF 4 PARTNERS. START DATE - 12/31/2003. 1 HR/MONTH. DUTIES - WORK WITH 3 PARTNERS - MAKE DECISIONS AS IT RELATES TO MANAGEMENT OF THE UNIT. 2) SD&S Real Estate, LLC/ investment related?: yes/ 8501 Calera Dr, Austin, Texas, 78735/ Partnership/ The LLC will invest in rental property to create income and capital gains./ Executive director/ I am the managing partner and will make most of the decisions regarding the management of the property./ start date: 4/30/2021
CRS (Client Relationship Summary) - RIA
Click below to view Samuel D Parker Jr.'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 3, 2024 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 4444 Westheimer Rd. Suite G500, Houston, TX 77027RIA
CRD#: 288199
Houston, TX
Current
June 3, 2024 - Present
USCA SECURITIES LLC
Office #1: 300 W. 6th Street Suite 1900, Austin, TX 78701BD
CRD#: 103789
Austin, TX
Past
June 25, 2002 - July 3, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN ANTONIO, TX
Past
July 1, 1994 - July 3, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN ANTONIO, TX
Past
July 31, 1993 - July 18, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
December 23, 1986 - April 21, 1988
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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(6/3/2024)
RR
Alaska(6/3/2024)
RR
Arizona(6/3/2024)
RR
Arkansas(6/3/2024)
RR
California(6/3/2024)
RR
Colorado(6/3/2024)
RR
Connecticut(6/3/2024)
RR
Delaware(6/3/2024)
RR
District of Columbia(6/3/2024)
RR
Florida(6/3/2024)
RR
Georgia(6/3/2024)
RR
Hawaii(6/3/2024)
RR
Idaho(6/3/2024)
RR
Illinois(7/31/2024)
RR
Indiana(6/3/2024)
RR
Iowa(6/3/2024)
RR
Kansas(6/3/2024)
RR
Kentucky(6/3/2024)
RR
Louisiana(6/3/2024)
RR
Maine(6/3/2024)
RR
Maryland(6/3/2024)
RR
Massachusetts(6/3/2024)
RR
Michigan(6/3/2024)
RR
Minnesota(6/3/2024)
RR
Mississippi(6/3/2024)
RR
Missouri(6/3/2024)
RR
Montana(6/3/2024)
RR
Nebraska(6/3/2024)
RR
Nevada(6/3/2024)
RR
New Hampshire(6/3/2024)
RR
New Jersey(6/3/2024)
RR
New Mexico(6/3/2024)
RR
New York(6/3/2024)
RR
North Carolina(6/3/2024)
RR
North Dakota(6/3/2024)
RR
Ohio(6/4/2024)
RR
Oklahoma(6/3/2024)
RR
Oregon(6/3/2024)
RR
Pennsylvania(6/3/2024)
RR
Puerto Rico(11/14/2024)
RR
Rhode Island(6/3/2024)
RR
South Carolina(6/3/2024)
RR
South Dakota(6/3/2024)
RR
Tennessee(6/3/2024)
RR
Texas(6/3/2024)
IAR
Texas(6/3/2024)
RR
Utah(6/3/2024)
RR
Vermont(6/3/2024)
RR
Virgin Islands(6/3/2024)
RR
Virginia(6/3/2024)
RR
Washington(6/3/2024)
RR
West Virginia(6/3/2024)
RR
Wisconsin(6/3/2024)
RR
Wyoming(6/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/26/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
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.
