Deborah A. Palmer

U.S. CAPITAL WEALTH ADVISORS

AUSTIN, TX 78701

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CRD#: 2359280

Professional summary

Deborah Ann Palmer 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.

Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Deborah has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 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.

1. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; head of operations; 08/2010; >1 hour/month; 1-8 during trading hours; back office operations functions 2. US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; head of operations; senior managing director; 06/2021; >1 hour/month; 1-8 during trading hours; back office operations functions

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deborah Ann Palmer's CRS (Customer Relationship Summary).

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

June 30, 2021 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701

RIA

CRD#: 288199

AUSTIN, TX

Current

September 27, 2010 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027

CRD#: 103789

Houston, TX

Past

January 3, 2012 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

August 11, 1993 - August 24, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

August 3, 1993 - August 24, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

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

Texas
(10/4/2010)

IAR

Texas
(6/30/2021)

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

Series 63

Date: 8/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/24/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/21/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

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Contact information

Main Address

4444 Westheimer Rd. Suite G500, Houston, TX 77027

Mailing Address

Phone number

(713) 366-0500

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

USCWA ADV PART 2A MARCH 28, 2025 (5/29/2025)

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	Cover Page	Report
01/23/2024	Cover Page	Report
03/24/2023	Cover Page	Report

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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Firm Stability Insights

Deborah A. Palmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deborah Ann Palmer's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

USCA RIA LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/2/1993

Series 10

Date: 8/24/2000

Series 9

Date: 7/21/2000

FINRA

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

U.S. CAPITAL WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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