Frank A. Villarreal

US CAPITAL GLOBAL WEALTH MANAGEMENT

San Francisco, CA 94111

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CRD#: 2035036

Professional summary

Frank Aurelio Villarreal is a registered financial advisor currently at US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC located in San Francisco, California and US CAPITAL GLOBAL SECURITIES, LLC located in San Francisco, California.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Frank has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 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.

Villarreal LLC; 28 Echo Ave Corte Madera CA 94925; Position: CEO; Renovates single family residences; personal funds; affiliation started 08/01/2009; 3 hours per week; not during securities trading hours; not investment related. US Capital Global Wealth Management, LLC; It is investment related. 555 Montgomery Street, Ste. 1501, San Francisco, CA 94111; SEC Registered Investment Advisor; Vice President; Start Date 1/2019; Spend approximately 40 hours a month total, and approximately 40 hours during market trading hours; offer investment consulting and investment management services to clients. Mr. Villarreal has been engaged in an outside business activity since 11/17/2016, US Capital Wealth Management, LLC (USCWM). USCWM is the predecessor investment advisory firm to US Capital Global Wealth Management LLC (USCGWM). The firms current address is 555 Montgomery St Suit 1501 San Francisco Ca. 94111. Mr. Villarreal is acting as an investment advisor, duties include financial account management. Mr. Villarreal spend time as needed, this is estimated to be 8 hours a day during market hours. US Capital Global Partners, LLC; 555 Montgomery Street, Suite 1501, San Francisco, CA 94111. 11/2016-Present. CA licensed broker-lender. Senior Vice President; Preform due diligence on companies; approximately 120 hours a month, approximately 100 hours during securities trading day. US Capital Global Advisors, LLC; 555 Montgomery Street, Suite 1501, San Francisco, CA 94111. Non investment-related. 4/2018-Present; Employee; Payroll agent for work performed at US Capital Global Partners, LLC. No hours a month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Aurelio Villarreal'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®

None

Experience

Current

March 28, 2019 - Present

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

Office #1: 1 Ferry Building Suite 201, San Francisco, CA 94111

RIA

CRD#: 299885

San Francisco, CA

Current

February 7, 2017 - Present

US CAPITAL GLOBAL SECURITIES, LLC

Office #1: 1 Ferry Building Suite 201, San Francisco, CA 94111

CRD#: 169544

San Francisco, CA

Past

December 27, 2016 - August 24, 2019

US CAPITAL GLOBAL WEALTH MANAGEMENT LLC

RIA

CRD#: 284435

San Francisco, CA

Past

November 23, 2015 - October 10, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

SAN FRANCISCO, CA

Past

November 23, 2015 - October 10, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

January 12, 2009 - December 4, 2015

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SAN FRANCISCO, CA

Past

January 12, 2009 - December 4, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

SAN FRANCISCO, CA

Past

January 17, 2003 - February 6, 2009

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

January 17, 2003 - February 6, 2009

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

July 30, 2002 - January 17, 2003

PERSHING LLC

RIA

CRD#: 7560

SAN FRANCISCO, CA

Past

January 10, 2001 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

February 1, 2000 - January 19, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

August 27, 1998 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

May 14, 1992 - September 1, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 28, 1991 - April 8, 1991

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

January 1, 1991 - December 31, 1990

DEL MAR SECURITIES, INC.

CRD#: 14411

Past

December 31, 1990 - December 31, 1990

DEL MAR SECURITIES, INC.

CRD#: 14411

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.

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

California
(2/7/2017)

IAR

California
(3/28/2019)

Colorado
(10/15/2021)

District of Columbia
(6/29/2021)

Florida
(7/26/2023)

Maryland
(6/28/2021)

New Jersey
(2/21/2025)

Oregon
(9/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 2/20/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

US CAPITAL GLOBAL WEALTH MANAGEMENT LLC | US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

CRD#: 299885 / SEC#:

California

Registered Investment Advisory firm - (3/27/2019 Approved)

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Contact information

Main Address

1 Ferry Building Suite 201, San Francisco, CA 94111

Mailing Address

Phone number

(917) 923-9649

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 19,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Frank A. Villarreal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Aurelio Villarreal's CRS (Customer Relationship Summary).

Certified licenses

Experience

US CAPITAL GLOBAL SECURITIES, LLC

US CAPITAL GLOBAL WEALTH MANAGEMENT LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

H.J. MEYERS & CO., INC.

DEL MAR SECURITIES, INC.

DEL MAR SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1998

Series 63

Date: 2/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1990

Series 14

Date: 2/20/2024

Series 24

Date: 3/11/2023

FINRA

Current Firm

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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