MG
Morris S. Gottesman
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 1810075
MG
Professional summary
Morris Scott Gottesman is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Austin, Texas and USCA SECURITIES LLC located in Austin, Texas.
Morris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Morris has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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) GOTTESMAN INC, Investment Related, Austin TX, SHARE HOLDER, FAMILY OWNED BUSINESS, AFFILIATED SINCE BIRTH. NO TIME DEVOTED 2) GFP Interests LP (Formerly Gottesman Family Partnership), Investment Related, Austin TX, FAMILY OWNED PARTNERSHIP HOLDS INVESTMENTS, Partner, AFFILIATED 2014, TIME DEVOTED <1 Hr per MTH. 3) M&LGF LTD, LLP, Investment Related, Austin TX, FAMILY LIMITED PARTNERSHIP, Co-Manager, AFFILIATED 2000.TIME DEVOTED 30 MIN per WK 4) LAND-HO INVESTORS 2008 PARTNERSHIP; Investment Related, AUSTIN TX; PARTNERSHIP TO ACQUIRE INTEREST IN STRATFORD LAND; <5% OWNERSHIP; START DATE=10/08; <1 HRS PER MTH/0 DURING MARKET; PASSIVE INVESTOR. 5) HACKBERRY INVESTORS; LTD; INVESTMENT RELATED; SAN ANTONIO, TX; PURCHASE OFFICE BUILDING; <15% OWNERSHIP; Limited Partner, START DATE: 2010; <1 HRS PER MTH; PASSIVE INVESTOR. 6) WHITE TEETH PARTNERS, INV RELATED, AUSTIN, TX, 30% OWNER, START: 4/2014, <1 HOURS/ mth, DUTIES: NONE 7) CHARLOTTE GOTTESMAN LLC, INV RELATED, Aventura FL, START: 1999, <1 HOURS/ mth, NO DUTIES 8) GFP GP LLC; INVESTMENT RELATED; AUSTIN, TX; GENERAL PARTNERSHIP FOR GOTTESMAN FAMILY PARTNERSHIP; 25% OWNERSHIP; START DATE = 10/09/14; NO TIME DEVOTED AND NO DUTIES. 9) MP Austin Investors, Investment Related, Austin TX, Partner, Start: 6/2012, <1 hr/mth, Duties: none 10) Go Lab 2012 Investors Partnership, Investment Related, Austin TX, start: 11/2012, <1per mth, Duties: none 11) Laurimar Partners 2014, Investment Related, Austin TX, Partner, Start 8/2014, <1 hr per mth 12) Newcomb Properties LLC, Investment Related, Austin TX, Start: 2001, 0 hrs per mth, duties: none 13) The CS Gottesman Trust, Investment Related, Austin TX, Trustee, Start: 1993, <1 hr per mth 14) The TCCCMG 1991 Trust, Investment Related, Austin TX, Trustee, Start: 12/1991, <1 hr per mth 15) M&LGF Management LLC, Investment Related, Austin TX, Co-Manager, Start: 6/2014, <1 hr per mth 16) Jon Brumley Texas Venture Labs at UT, Investment Related, Austin TX, Advisory Board Member, Start 6/2016, < 1hr per mth. 17) GHV 2016, Investment Related, Austin TX, Partner, Dec 2016, 0 hrs/month 18) ANTI-DEFAMATION LEAGUE, NOT INVESTMENT-RELATED, 11940 JOLLYVILLE RD, AUSTIN, TX 78759, NOT FOR PROFIT, BOARD MEMBER, START DATE 01/05/2018, DEVOTE 1 HOUR PER MONTH TO ACTIVITY, DEVOTE 1 HOUR PER MONTH TO ACTIVITY DURING SECURITY TRADING HOURS, ADVISER 19) HEARTGIFT, NOT INVESTMENT-RELATED, 7951 SHOAL CREEK BLVD., STE. 275, AUSTIN, TX 78757, ADVISORY COUNCIL MEMBER, START DATE 07/2018, DEVOTE APPROX. 5 HOURS PER MONTH TO ACTIVITY, DEVOTE 0 HOURS PER MONTH TO ACTIVITY DURING SECURITIES TRADING HOURS, RECEIVES NO COMPENSATION, HELP RAISE SUPPORT AND MONEY TO EXPAND THE MISSION. 20) USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 12/2014; >1 hour/month; 1-8 during trading hours; broker 21) MOFER LLC; not investment related; Austin, Tx; partnership for ownership of a boat; member; member/ manager; June 2014; 0 hrs/month; 0 hrs/month; partnership for ownership of boat 22) US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor 23) Univ of Tx Dept of Psychiatry and Behav Sciences; non-investment related; Austin, TX; Public University, Advisory Board Member; 08/2021; <5 hrs/month; <5 during trading hours; support and advise on direction of department 24) The Gottesman Family Partnership-BR; non-investment related; Austin, TX; family partnership; manager; limited partner/manager; 09/2007; >1 hr/month; >1 hr during trading hours; all duties assigned to partners/managers in agreement
CRS (Client Relationship Summary) - RIA
Click below to view Morris Scott Gottesman'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
December 12, 2014 - Present
USCA SECURITIES LLC
Office #1: 300 W. 6th Street Suite 1900, Austin, TX 78701BD
CRD#: 103789
Austin, TX
Past
December 16, 2014 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
AUSTIN, TX
Past
July 1, 2003 - December 23, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AUSTIN, TX
Past
July 1, 2003 - December 23, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AUSTIN, TX
Past
May 4, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
AUSTIN, TX
Past
May 4, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 31, 1993 - May 15, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 23, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, 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
California(1/15/2015)
RR
Colorado(2/21/2023)
RR
Florida(12/22/2014)
RR
Georgia(1/22/2020)
RR
Kansas(11/14/2022)
RR
Louisiana(12/15/2014)
RR
New Mexico(9/27/2016)
RR
New York(1/29/2015)
RR
Pennsylvania(1/13/2016)
RR
South Dakota(10/14/2025)
RR
Texas(12/19/2014)
IAR
Texas(6/30/2021)
RR
Washington(10/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
Registered Investment Advisory firm - (5/3/2017 Approved)Upgrade to AdvisorCheck Premium
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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.
