Enrique Araiza

U.S. CAPITAL WEALTH ADVISORS

Houston, TX 77027

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CRD#: 4132391

Professional summary

Enrique Araiza, who also goes by Enrique Araiza Garza, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Houston, Texas and USCA SECURITIES LLC located in Houston, Texas.

Enrique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Enrique has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Enrique Araiza Garza

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.

Titleisit Capital, LLC Broker Dealer Chief Compliance Officer Since 03/2020 Investment Related Titleist Asset Management, LLC Investment Adviser Investment Adviser Representative Since 04/2023 Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Enrique Araiza'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 22, 2025 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 4444 Westheimer Rd. Suite G500, Houston, TX 77027

RIA

CRD#: 288199

Houston, TX

Current

January 28, 2025 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027

CRD#: 103789

Houston, TX

Past

April 17, 2023 - January 21, 2025

TITLEIST ASSET MANAGEMENT, LLC

RIA

CRD#: 323567

HOUSTON, TX

Past

March 3, 2020 - August 8, 2023

TITLEIST CAPITAL, LLC

RIA

CRD#: 126136

Houston, TX

Past

March 3, 2020 - January 21, 2025

TITLEIST CAPITAL, LLC

CRD#: 126136

DALLAS, TX

Past

March 1, 2019 - March 10, 2020

BB&T SECURITIES, LLC

RIA

CRD#: 142785

HOUSTON, TX

Past

March 1, 2019 - March 10, 2020

BB&T SECURITIES, LLC

CRD#: 142785

HOUSTON, TX

Past

September 10, 2013 - December 17, 2018

TITLEIST CAPITAL, LLC

RIA

CRD#: 126136

HOUSTON, TX

Past

September 10, 2013 - December 17, 2018

TITLEIST CAPITAL, LLC

CRD#: 126136

HOUSTON, TX

Past

February 4, 2013 - October 28, 2013

FORTITUDE ADVISORY GROUP L.L.C.

RIA

CRD#: 116083

GIG HARBOR, WA

Past

December 7, 2012 - October 28, 2013

ARGENTUS SECURITIES, LLC

CRD#: 45915

HOUSTON, TX

Past

December 14, 2004 - November 30, 2010

BASE SECURITIES, LLC

CRD#: 131922

HOUSTON, TX

Past

June 11, 2003 - January 11, 2005

BBVA INVESTMENTS INC.

CRD#: 31769

HOUSTON, TX

Past

February 18, 2002 - June 10, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

October 17, 2001 - June 10, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 4, 2000 - October 9, 2001

GAMMA CAPITAL SECURITIES, INC

CRD#: 41748

THE WOODLANDS, TX

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

Texas
(1/22/2025)

Texas
(1/28/2025)

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: 2/3/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 3/18/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/23/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/27/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/2/2025

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Enrique Araiza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Enrique Araiza's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

TITLEIST ASSET MANAGEMENT, LLC

TITLEIST CAPITAL, LLC

TITLEIST CAPITAL, LLC

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

TITLEIST CAPITAL, LLC

TITLEIST CAPITAL, LLC

FORTITUDE ADVISORY GROUP L.L.C.

ARGENTUS SECURITIES, LLC

BASE SECURITIES, LLC

BBVA INVESTMENTS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GAMMA CAPITAL SECURITIES, INC

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/2013

Series 63

Date: 4/20/2000

Series 52TO

Date: 3/18/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 12/23/2014

Series 7

Date: 3/27/2000

Series 53

Date: 7/2/2025

Series 24

Date: 1/2/2023

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

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