Carol J. Chamblee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carol Jane Chamblee, who also goes by Carol Jane Johnson, Carol Jane Joy, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1990. Carol had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2015 - January 4, 2024
USCA SECURITIES LLC
January 27, 2014 - April 3, 2014
DEUTSCHE BANK SECURITIES INC.
March 8, 2007 - October 4, 2012
SANDERS MORRIS LLC
January 3, 2003 - March 5, 2007
OPPENHEIMER & CO. INC.
February 28, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 7, 1996 - December 5, 2001
CIBC WORLD MARKETS CORP.
August 23, 1995 - February 15, 1996
LEGG MASON WOOD WALKER, INCORPORATED
May 3, 1994 - March 23, 1995
WESTCAP SECURITIES, L.P.
May 30, 1990 - August 24, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USCA SECURITIES LLC
CRD#: 103789 / SEC#: , 8-52285
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. CAPITAL WEALTH, LLC | OWNER | |
| BOWLING, ELIZABETH COURTNEY | HEAD OF LEGAL AND COMPLIANCE | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL ADVISORS LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | MANAGING PARTNER | 2446459 |
| MARTINEZ, MARGARITA YVETTE | PFO/CONTROLLER | 4724529 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER/HEAD OF WEALTH MANAGEMENT | 1068809 |
| SURPRENANT, THERESE | LEGAL & REGULATORY COUNSEL |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
