Hugh P. Maginnis

U.S. CAPITAL WEALTH ADVISORS

ANDOVER, MA 01810

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CRD#: 2971733

Professional summary

Hugh Patrick Maginnis JR is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Andover, Massachusetts.

Hugh is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Hugh has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 6 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) REGISTERED AS AN INSURANCE AGENT WHICH IS NOT INVESTMENT-RELATED. BUSINESS IS CONDUCTED FROM OFFICE AT 40 SHATTUCK ROAD, ANDOVER, MA. SELLS AND SERVICES FIXED INSURANCE AND ANNUITY CONTRACTS AND SPENDS APPROXIMATELY 10 HOURS A MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hugh Patrick Maginnis JR'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

August 30, 2022 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 40 Shattuck Road Suite 309, Andover, MA 01810

RIA

CRD#: 288199

ANDOVER, MA

Past

May 31, 2018 - September 8, 2022

PINNACLE PRIVATE WEALTH, LLC

RIA

CRD#: 170315

BURLINGTON, MA

Past

May 29, 2018 - October 6, 2022

TRIAD ADVISORS LLC

CRD#: 25803

Andover, MA

Past

October 4, 2011 - June 6, 2018

RPG FAMILY WEALTH ADVISORY, LLC

RIA

CRD#: 158528

BURLINGTON, MA

Past

September 30, 2011 - May 31, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BURLINGTON, MA

Past

June 1, 2009 - October 17, 2011

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

Past

August 28, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOSTON, MA

Past

April 28, 2003 - August 31, 2007

NEW ENGLAND SECURITIES

CRD#: 615

WAKEFIELD, MA

Past

May 4, 1999 - April 15, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 7, 1998 - April 27, 1999

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/25/2022)

IAR

Texas
(8/30/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/1998

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 31

Date: 7/24/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/20/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/1997

Investment Company Products/Variable Contracts Representative Examination

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

Hugh P. Maginnis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hugh Patrick Maginnis JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE PRIVATE WEALTH, LLC

TRIAD ADVISORS LLC

RPG FAMILY WEALTH ADVISORY, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

NEW ENGLAND SECURITIES

LPL FINANCIAL LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/2007

Series 63

Date: 1/14/1998

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 7/24/2009

Series 7

Date: 5/20/1999

Series 6

Date: 12/20/1997

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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