BS
Bradley O. Stammen
USCA SECURITIES LLC
DALLAS, TX 75201
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CRD#: 3131703
BS
Professional summary
Bradley Orville Stammen is a registered financial professional currently at USCA SECURITIES LLC located in Dallas, Texas.
Bradley is registered as a RR (Registered Representative) and started their career in finance in 1999. Bradley has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3 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.
CRS (Client Relationship Summary) - BD
Click below to view Bradley Orville Stammen'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
March 7, 2011 - Present
USCA SECURITIES LLC
Office #1: 2101 Cedar Springs Rd Suite 1850, Dallas, TX 75201BD
CRD#: 103789
DALLAS, TX
Past
June 29, 2005 - December 19, 2006
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
Past
February 4, 2002 - June 20, 2005
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
March 24, 2000 - December 4, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
February 1, 1999 - March 23, 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
Alabama(5/31/2011)
RR
Arizona(5/31/2011)
RR
California(5/31/2011)
RR
Colorado(5/31/2011)
RR
Connecticut(5/31/2011)
RR
Delaware(5/31/2011)
RR
Florida(5/31/2011)
RR
Georgia(5/31/2011)
RR
Illinois(5/31/2011)
RR
Indiana(5/31/2011)
RR
Iowa(5/31/2011)
RR
Kansas(5/31/2011)
RR
Louisiana(3/30/2016)
RR
Maryland(5/31/2011)
RR
Massachusetts(5/31/2011)
RR
Michigan(5/31/2011)
RR
Minnesota(5/31/2011)
RR
Missouri(5/31/2011)
RR
Nebraska(5/31/2011)
RR
New Jersey(5/31/2011)
RR
New Mexico(5/31/2011)
RR
New York(5/31/2011)
RR
North Carolina(5/31/2011)
RR
Ohio(5/31/2011)
RR
Oklahoma(5/31/2011)
RR
Oregon(5/31/2011)
RR
Pennsylvania(5/31/2011)
RR
Texas(4/29/2011)
RR
Utah(5/31/2011)
RR
Vermont(5/31/2011)
RR
Washington(5/31/2011)
RR
Wisconsin(5/31/2011)
RR
Wyoming(5/31/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/18/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. CAPITAL WEALTH, LLC | OWNER | |
| BOWLING, ELIZABETH COURTNEY | HEAD OF LEGAL AND COMPLIANCE | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL ADVISORS LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | MANAGING PARTNER | 2446459 |
| MARTINEZ, MARGARITA YVETTE | PFO/CONTROLLER | 4724529 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER/HEAD OF WEALTH MANAGEMENT | 1068809 |
| SURPRENANT, THERESE | LEGAL & REGULATORY COUNSEL |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
USCA SECURITIES LLC
CRD#: 103789Dallas, TX 75201TRUST BUT VERIFY
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