Randall S. Jones
Professional summary
Randall Shawn Jones, who also goes by Shawn Jones, 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.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Randall has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Randall Shawn Jones'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 78701June 25, 2015 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027July 9, 2018 - August 24, 2021
USCA ASSET MANAGEMENT LLC
June 24, 2015 - June 30, 2021
USCA RIA LLC
August 14, 2000 - July 6, 2015
UBS FINANCIAL SERVICES INC.
August 14, 2000 - July 6, 2015
UBS FINANCIAL SERVICES INC.
March 26, 1999 - August 14, 2000
J.C. BRADFORD & CO.
December 9, 1994 - April 1, 1999
CITIGROUP GLOBAL MARKETS INC.
June 28, 1994 - August 29, 1994
HART SECURITIES, 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
(7/21/2023)
(6/29/2017)
(6/25/2015)
(6/25/2015)
(1/6/2020)
(6/25/2015)
(1/28/2021)
(6/25/2015)
(9/22/2023)
(1/2/2024)
(4/5/2022)
(4/25/2025)
(6/25/2015)
(6/25/2015)
(1/10/2024)
(6/25/2015)
(11/5/2024)
(6/25/2015)
(7/31/2019)
(9/8/2017)
(6/25/2015)
(6/30/2021)
(6/25/2015)
(6/25/2015)
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.
