ER
Edward Randall
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 2688866
ER
Professional summary
Edward Randall IV, who also goes by Ed Randall IV, 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.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Edward has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Randall Iv
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) DYNAMIC HEALTH STRATEGIES, LLC, NOT INVESTMENT-RELATED, 2425 FOUNTAINVIEW DR., SUITE 310, HOUSTON, TX 77057, MEMBER OF BOARD OF DIRECTORS, 05/2014, 12 HOURS/MONTH DEVOTED TO ACTIVITY, 0 HOURS/MONTH DEVOTED TO ACTIVITY DURING SECURITIES TRADING HOURS. 2) TOWNE CENTER VENTURE, LLP, NOT INVESTMENT-RELATED, 2001 KIRBY DR., STE. 610, HOUSTON, TX 77019, MANAGEMENT OF SHOPPING CENTERS, GENERAL PARTNER, 10/2018, DEVOTE 1 HOUR PER MONTH TO ACTIVITY, DEVOTE 0 HOURS PER MONTH TO ACTIVITY DURING SECURITIES TRADING HOURS, SIGN CHECKS & DOCUMENTS WHEN NEEDED AS GENERAL PARTNER. 3) DJS LAND COMPANY LTD., NOT INVESTMENT-RELATED, 2001 KIRBY DR., STE. 610, HOUSTON, TX 77019, REAL ESTATE MANAGEMENT, GENERAL PARTNER, 10/2018, DEVOTE 1 HOUR PER MONTH TO ACTIVITY, DEVOTE 0 HOURS PER MONTH TO ACTIVITY DURING SECURITIES TRADING HOURS, SIGN CHECKS & DOCUMENTS WHEN NEEDED AS GENERAL PARTNER. 4) RANDALL MINERAL COMPANY, LTD., NOT INVESTMENT-RELATED, 2001 KIRBY DR., STE. 610, HOUSTON, TX 77019, MANAGEMENT OF OIL, GAS & OTHER MINERALS, GENERAL PARTNER, 10/2018, DEVOTE 1 HOUR PER MONTH TO ACTIVITY, DEVOTE 0 HOURS PER MONTH TO ACTIVITY DURING SECURITIES TRADING HOURS, SIGN CHECKS & DOCUMENTS WHEN NEEDED AS GENERAL PARTNER. 5)USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 10/2010; >1 hour/month; 1-8 during trading hours; broker 6) US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor
CRS (Client Relationship Summary) - RIA
Click below to view Edward Randall IV'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®
NoneExperience
Current
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701RIA
CRD#: 288199
AUSTIN, TX
Current
October 29, 2010 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
Houston, TX
Past
November 25, 2010 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
August 21, 2009 - November 5, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
March 24, 2009 - November 5, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
April 19, 2005 - April 11, 2007
PEMBROKE FINANCIAL PARTNERS LLC
BD
CRD#: 47193
HOUSTON, TX
Past
January 2, 2002 - April 18, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
August 14, 1998 - April 18, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 12, 1997 - August 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
UC
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.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
California(11/12/2020)
RR
Texas(12/1/2010)
IAR
Texas(6/30/2021)
RR
Wyoming(12/9/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
U.S. CAPITAL WEALTH ADVISORS, LLC
LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
RIA
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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
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.
