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DG

Daniel Garcia

USCA SECURITIES LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 2576289
DG

Professional summary

Daniel Garcia is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Garcia'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

May 12, 2022 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027
BD
CRD#: 103789
Houston, TX
Past

January 22, 2009 - May 19, 2022

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
HOUSTON, TX
Past

March 13, 2008 - January 23, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
HOUSTON, TX
Past

February 11, 2004 - March 11, 2008

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
HOUSTON, TX
Past

November 15, 2000 - June 27, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 31, 2000 - November 7, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Arizona
(1/5/2024)
RR
Arkansas
(5/12/2022)
RR
California
(5/12/2022)
RR
Colorado
(5/12/2022)
RR
Florida
(5/12/2022)
RR
Georgia
(5/12/2022)
RR
Illinois
(5/12/2022)
RR
Kentucky
(6/30/2023)
RR
Louisiana
(5/12/2022)
RR
Maryland
(5/12/2022)
RR
Mississippi
(5/12/2022)
RR
Missouri
(5/12/2022)
RR
New Jersey
(5/12/2022)
RR
New York
(5/12/2022)
RR
North Carolina
(5/12/2022)
RR
Ohio
(5/16/2022)
RR
Oklahoma
(5/12/2022)
RR
Oregon
(5/12/2022)
RR
Pennsylvania
(5/12/2022)
RR
Rhode Island
(5/12/2022)
RR
South Carolina
(5/12/2022)
RR
Tennessee
(5/12/2022)
RR
Texas
(5/12/2022)
RR
Virginia
(5/12/2022)
RR
Washington
(5/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/30/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

US
USCA SECURITIES LLC
LEDGEWOOD CAPITAL MANAGEMENT, LLC | USCA SECURITIES LLC | U.S. CAPITAL WEALTH | U.S. CAPITAL ADVISORS

CRD#: 103789 / SEC#: , 8-52285

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4444 Westheimer Suite G500, Houston, TX 77027
Mailing Address
4444 Westheimer Suite G500, Houston, TX 77027
Phone number
(713) 366-0500
Established
Delaware since 12/16/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
U.S. CAPITAL WEALTH, LLCOWNER
BOWLING, ELIZABETH COURTNEYHEAD OF LEGAL AND COMPLIANCE, U.S. CAPITAL WEALTH, LLC6335464
DEJONCKHEERE, KASEY LIZANNCFO, U.S. CAPITAL WEALTH, LLC3071831
HODGES, ELIZABETHCHIEF COMPLIANCE OFFICER5418587
KING, DAVID MICHAELPRESIDENT AND MANAGING PARTNER, U.S. CAPITAL WEALTH, LLC2446459
MARTINEZ, MARGARITA YVETTEPFO/CONTROLLER4724529
MENDENHALL, PATRICK MICHAELMANAGING PARTNER1068809

Disclosures

Regulatory Event1
Arbitration2

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#: 103789Houston, TX 77027

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