Ryan S. Erb
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryan Shawn Erb, who also goes by Ryan S Erb, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 1998. Ryan had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2017 - July 26, 2021
U.S. CAPITAL WEALTH ADVISORS, LLC
June 16, 2017 - January 24, 2018
PURSHE KAPLAN STERLING INVESTMENTS
December 17, 2015 - June 21, 2017
PRUCO SECURITIES, LLC.
December 17, 2015 - June 21, 2017
PRUCO SECURITIES, LLC.
June 5, 2014 - August 6, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
June 5, 2014 - August 6, 2015
ALLSTATE FINANCIAL SERVICES, LLC
January 13, 2012 - January 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2011 - January 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2005 - August 31, 2011
CHASE INVESTMENT SERVICES CORP.
December 19, 2003 - August 31, 2011
CHASE INVESTMENT SERVICES CORP.
September 24, 2002 - November 3, 2003
NEW ENGLAND SECURITIES
December 21, 2000 - July 18, 2002
UBS FINANCIAL SERVICES INC.
December 1, 2000 - July 18, 2002
UBS FINANCIAL SERVICES INC.
March 6, 1998 - December 11, 2000
AMERIPRISE ADVISOR SERVICES, 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
Exams
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.
