Karen E. Frankfort
Professional summary
Karen Elizabeth Frankfort, who also goes by Karen Elizabeth Gluch, Karen Elizabeth Stiles, Karen Elizabeth Williamson, 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.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Karen has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Karen Elizabeth Frankfort's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701May 27, 2014 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027June 13, 2014 - June 30, 2021
USCA RIA LLC
July 2, 2007 - June 5, 2014
UBS FINANCIAL SERVICES INC.
August 4, 2006 - June 5, 2014
UBS FINANCIAL SERVICES INC.
May 13, 2005 - August 8, 2006
OPPENHEIMER & CO. INC.
September 22, 2003 - May 11, 2005
AMERICAN GENERAL DISTRIBUTORS, INC.
January 10, 2003 - July 30, 2003
GOLDK INVESTMENT SERVICES, INC
December 10, 1998 - December 9, 2002
INVESCO DISTRIBUTORS, 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
(5/23/2017)
(1/25/2016)
(6/11/2014)
(4/4/2024)
(10/14/2025)
(5/27/2014)
(6/2/2014)
(5/29/2014)
(5/27/2014)
(6/9/2021)
(5/27/2014)
(9/14/2015)
(1/3/2025)
(7/2/2025)
(4/14/2016)
(5/27/2014)
(10/28/2025)
(6/10/2014)
(6/12/2014)
(5/27/2014)
(1/13/2020)
(6/11/2014)
(5/27/2014)
(5/27/2014)
(11/19/2014)
(7/2/2021)
(5/27/2014)
(6/30/2021)
(12/4/2018)
(1/8/2015)
(9/1/2016)
(12/21/2020)
(10/26/2017)
(4/19/2018)
Exams
FINRA
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.
