Carol Jane Chamblee
Professional Summary
Carol Jane Chamblee, who also goes by Carol Jane Johnson, Carol Jane Joy, was a registered financial advisor. Carol was a previously registered financial professional and started their career in finance 1990 - 2024. Carol had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol Jane Johnson, Carol Jane Joy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
LEDGEWOOD CAPITAL MANAGEMENT, LLC | USCA SECURITIES LLC | U.S. CAPITAL WEALTH | U.S. CAPITAL ADVISORS
Contact Information
Main Address
4444 Westheimer Suite G500, Houston, TX 77027Mailing Address
4444 Westheimer Suite G500, Houston, TX 77027Phone Number
(713) 366-0500Established
Delaware since 12/16/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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, U.S. CAPITAL WEALTH, LLC | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL WEALTH, LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | PRESIDENT AND MANAGING PARTNER, U.S. CAPITAL WEALTH, LLC | 2446459 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER | 1068809 |
| RYAN, KIMBERLY ANN | FINOP | 4316310 |
Disclosures
Regulatory Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2006About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2006About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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