Jean Neustadt Jr.

Some features on this profile are disabled

CRD#: 346765

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.

Jean Neustadt Jr., who also goes by Jean Neustadt Jr, was a registered financial professional .

Jean is a previously registered financial professional and started their career in finance in 1973. Jean had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jean Neustadt Jr

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. GOLDSTONE EXTERIOR SERVICES LLC -ENVIRONMENTAL CLEAN UP, HOUSTON, TX, INVESTMENT RELATED, 2006, CHAIRMAN, 1 HR MO NON-TRADING; 2. JNJR LLC - GENERAL PARTNER INVESTMENTS, HOUSTON, TX, INVESTMENT-RELATED, EARLY 1990'S, 100% OWNER, DIRECTOR, ALL DECISIONS RELATED TO THIS ORGANIZATION, MAINLY COMPRISED OF OIL & GAS AND REAL ESTATE. 3. NEUSTADT CHARITABLE FOUNDATION, INVESTMENT-RELATED, HOUSTON,TX, CHARITABLE FOUNDATION, DIRECTOR, MID 1970'S, 1 HR PER MONTH DEVOTED TO FOUNDATION, 0 HRS DURING SECURITIES TRADING HOURS. 4. HEWITT MINERAL CORP, INVESTMENT-RELATED, P.O. BOX 1388 ARDONORE, OK 73402, OIL & GAS, PARTICIPATION IN PROFITS, APPROX. 1980, 0 HOURS DEVOTED TO THIS ACTIVITY. 5. SHORTHORN OIL & GAS LLC, INVESTMENT-RELATED, 376 ROBBINS DRIVE, HOUSTON, TX 77024, OIL & GAS EXPLORATION, DIRECTOR, APPROX. 1980, DEVOTE APPROX. 1-2 HRS. PER MONTH TO ACTIVITY, 0 HRS PER MONTH DURING SECURITIES TRADING HRS., DECISION MAKING ON DRILLING ACTIVITIES. 6. Jean Neustadt Jr Special Partnership; Family Investments; Houston TX; 1978; 0 hours during market hours; > 1 hour/month; distribute income from investments. 7. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 12/2011; >1 hour/month; 1-8 during trading hours; broker 8. US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor

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

June 30, 2021 - January 10, 2024

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

December 16, 2011 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

December 16, 2011 - January 10, 2024

USCA SECURITIES LLC

CRD#: 103789

HOUSTON, TX

Past

January 1, 1991 - December 20, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

January 1, 1991 - December 20, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

August 20, 1974 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

July 13, 1973 - September 5, 1974

SHESHUNOFF & COMPANY, INC.

CRD#: 6067

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 6/27/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/6/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 7/10/1973

Registered 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jean Neustadt Jr.

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USCA RIA LLC

USCA SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

SHESHUNOFF & COMPANY, INC.

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1979

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 9/6/1977

Series 1

Date: 7/10/1973

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

Similar Advisors