Clint A. Turner
Professional summary
Clint Amon Turner III is a registered financial professional currently at USCA SECURITIES LLC located in Dallas, Texas.
Clint is registered as a RR (Registered Representative) and started their career in finance in 1992. Clint has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Clint Amon Turner III's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2011 - Present
USCA SECURITIES LLC
Office #1: 2101 Cedar Springs Rd Suite 1850, Dallas, TX 75201June 24, 2008 - October 22, 2010
PULSE TRADING, INC.
April 6, 2006 - July 14, 2008
BANC OF AMERICA SECURITIES LLC
June 28, 2005 - October 31, 2005
KNIGHT DIRECT LLC
November 26, 2002 - July 8, 2005
CONOR PETERSON LLC
June 2, 1995 - November 25, 2002
HILLTOP SECURITIES INC.
July 30, 1994 - June 13, 1995
BARRE & COMPANY, INCORPORATED
April 1, 1993 - July 20, 1994
AMERIPRISE ADVISOR SERVICES, INC.
July 30, 1992 - March 3, 1993
MONACO SECURITIES, INC.
July 22, 1992 - August 12, 1992
FRANKLIN-LORD, INC.
April 22, 1992 - July 8, 1992
J. W. GANT & ASSOCIATES, 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
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/9/2000
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
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.
Company Information
USCA SECURITIES LLC
CRD#: 103789Dallas, TX 75201TRUST BUT VERIFY
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