KR
Kelly A. Rushing
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 407409
KR
Professional summary
Kelly Albert Rushing 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.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Kelly has worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, Series 000, Series 1, Series 4 and Series 12 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.
1) TEXAS HISTORICAL FOUNDATION, NOT INVESTMENT-RELATED, 221 E. 9TH ST, STE. 205, AUSTIN, TX 78701, DIRECTOR, START DATE 2005, DEVOTE APPROX. 3 HOURS PER MONTH TO ACTIVITY, DEVOTE 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS, VOTE AND REVIEW REQUESTS FOR ASSISTANCE. 2) OPEN DOOR MISSION, NOT INVESTMENT-RELATED, 5803 HARRISBERG RD, HOUSTON, TX 77011, BOARD MEMBER, START DATE 2006, DEVOTE APPROX. 3 HOURS PER MONTH TO ACTIVITY, DEVOTE 2 HOURS PER MONTH TO ACTIVITY DURING SECURITIES TRADING HOURS, OVERSIGHT AND DIRECTOR FOR CHARITY. 3) USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 06/2015; >1 hour/month; 1-8 during trading hours; broker 4) 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
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Albert Rushing'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
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701RIA
CRD#: 288199
AUSTIN, TX
Current
June 25, 2015 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
Houston, TX
Past
March 6, 2017 - March 13, 2024
USCA ASSET MANAGEMENT LLC
RIA
CRD#: 137045
HOUSTON, TX
Past
June 24, 2015 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
August 14, 2000 - July 6, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
August 14, 2000 - July 6, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 27, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
March 13, 1989 - April 1, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 27, 1984 - March 21, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
June 25, 1979 - January 31, 1984
SCHNEIDER, BERNET & HICKMAN, INC.
BD
CRD#: 750
Past
January 18, 1978 - August 3, 1979
LOEB PARTNERS
BD
CRD#: 7534
Past
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
BD
CRD#: 7502
Past
May 29, 1975 - January 4, 1977
LOEB, RHOADES & CO. INC.
BD
CRD#: 525
Past
January 12, 1972 - May 30, 1975
KIDDER, PEABODY & CO., INCORPORATED
BD
CRD#: 488
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".
UC
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.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
Arkansas(7/5/2017)
RR
California(6/25/2015)
RR
Colorado(6/25/2015)
RR
Florida(1/7/2020)
RR
Georgia(6/25/2015)
RR
Hawaii(1/29/2021)
RR
Illinois(6/25/2015)
RR
Kansas(9/22/2023)
RR
Louisiana(1/5/2024)
RR
Mississippi(4/8/2022)
RR
Nevada(6/25/2015)
RR
New Jersey(6/25/2015)
RR
New Mexico(1/11/2024)
RR
New York(6/25/2015)
RR
Ohio(11/5/2024)
RR
Oklahoma(6/25/2015)
RR
Oregon(8/2/2019)
RR
Tennessee(9/11/2017)
RR
Texas(6/25/2015)
IAR
Texas(6/30/2021)
RR
Washington(6/25/2015)
RR
Wyoming(6/25/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 12/21/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/5/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 1/12/1972
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 1/4/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 8/25/1978
NYSE Branch Manager ExaminationSRO Registrations
RR
FINRA
Current Firm
UC
U.S. CAPITAL WEALTH ADVISORS, LLC
LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
RIA
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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
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.
