Gregory T. Lavergne
Professional summary
Gregory Todd Lavergne, who also goes by Greg Todd Lavergne, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Austin, Texas and USCA SECURITIES LLC located in Houston, Texas.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Gregory has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Todd Lavergne's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701May 27, 2014 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027May 27, 2014 - June 30, 2021
USCA RIA LLC
November 28, 2000 - June 5, 2014
UBS FINANCIAL SERVICES INC.
November 10, 2000 - June 5, 2014
UBS FINANCIAL SERVICES INC.
September 12, 1997 - November 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 3, 1991 - September 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1989 - January 10, 1990
THE STUART-JAMES COMPANY, INCORPORATED
May 23, 1989 - June 30, 1989
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/22/2017)
(1/22/2016)
(6/16/2014)
(4/4/2024)
(10/13/2025)
(5/27/2014)
(5/27/2014)
(5/27/2014)
(6/10/2014)
(6/9/2021)
(5/27/2014)
(9/10/2015)
(1/2/2025)
(11/9/2017)
(7/2/2025)
(4/11/2016)
(5/27/2014)
(10/27/2025)
(5/27/2014)
(5/27/2014)
(5/27/2014)
(1/13/2020)
(6/2/2014)
(1/2/2015)
(5/27/2014)
(11/19/2014)
(7/1/2021)
(5/27/2014)
(6/30/2021)
(12/3/2018)
(5/27/2014)
(8/31/2016)
(12/16/2020)
(10/25/2017)
(4/18/2018)
Exams
FINRA
Current Firm
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
Contact information
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.
