Keith Hassan

U.S. CAPITAL WEALTH ADVISORS

New York, NY 10175

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CRD#: 4010067

Professional summary

Keith Hassan is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in New York, New York and USCA SECURITIES LLC located in New York, New York.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Keith has worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Hassan'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

January 7, 2025 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 521 5th Avenue Suite 1721 17th Floor, New York, NY, 10175

RIA

CRD#: 288199

New York, NY

Current

March 27, 2025 - Present

USCA SECURITIES LLC

Office #1: 521 Fifth Avenue 12th Floor, New York, NY 10175

CRD#: 103789

New York, NY

Past

March 12, 2018 - December 31, 2024

LAIDLAW WEALTH MANAGEMENT LLC

RIA

CRD#: 150040

NEW YORK, NY

Past

September 25, 2017 - December 31, 2024

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

December 16, 2014 - July 26, 2017

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

July 2, 2012 - December 3, 2014

VIRTU AMERICAS LLC

CRD#: 149823

JERSEY CITY, NJ

Past

January 28, 2003 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

June 2, 2000 - November 21, 2002

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 24, 1999 - November 30, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

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

IAR

Florida
(1/31/2025)

Florida
(3/27/2025)

IAR

New Jersey
(1/13/2025)

New Jersey
(3/27/2025)

IAR

New York
(1/7/2025)

New York
(3/27/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/12/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/26/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/23/1999

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

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

Keith Hassan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Hassan's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

LAIDLAW WEALTH MANAGEMENT LLC

LAIDLAW & COMPANY (UK) LTD.

COWEN EXECUTION SERVICES LLC

VIRTU AMERICAS LLC

KNIGHT CAPITAL AMERICAS, L.P.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/12/2018

Series 63

Date: 12/8/1999

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/26/2000

Series 7

Date: 11/23/1999

FINRA

Investors' Exchange LLC

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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