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Grizelle E. Perez

Some features on this profile are disabled
CRD#: 2890759
GP

Professional summary

Grizelle Elizabeth Perez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Grizelle is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Grizelle had worked at 9 firms, which includes USCA RIA LLC, USCA SECURITIES LLC, SANDERS MORRIS LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY, MORGAN STANLEY & CO. LLC, RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Grizelle E. Perez | Grizelle E Proano

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 6, 2018 - October 30, 2019

USCA RIA LLC

RIA
CRD#: 152170
HOUSTON, TX
Past

April 6, 2018 - October 30, 2019

USCA SECURITIES LLC

BD
CRD#: 103789
HOUSTON, TX
Past

June 5, 2017 - March 26, 2018

SANDERS MORRIS LLC

BD
CRD#: 20580
HOUSTON, TX
Past

October 8, 2010 - April 15, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

October 8, 2010 - April 15, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
HOUSTON, TX
Past

June 1, 2009 - June 11, 2010

MORGAN STANLEY

RIA
CRD#: 149777
HOUSTON, TX
Past

June 1, 2009 - June 11, 2010

MORGAN STANLEY

BD
CRD#: 149777
HOUSTON, TX
Past

March 20, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
HOUSTON, TX
Past

March 20, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
HOUSTON, TX
Past

July 5, 2001 - April 2, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

July 5, 2001 - April 2, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
HOUSTON, TX
Past

March 2, 1998 - July 16, 2001

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

November 13, 1997 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/1997
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: 11/12/1997
General Securities Representative Examination

Current Firm

UR
USCA RIA LLC
U.S. CAPITAL ADVISORS LLC ("USCA") | USCA RIA LLC

CRD#: 152170 / SEC#: 801-72105

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Contact information

Main Address
4444 Westheimer Suite G500, Houston, TX 77027
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

USCA RIA LLC FORM ADV PART 2A APPENDIX 1 - WRAP BROCHURE (3/31/2021)
USCA RIA LLC FORM ADV PART 2A (3/31/2021)

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 RIA LLC

CRD#: 152170

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