Shay W. Scruggs
Professional summary
Shay W Scruggs is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.
Shay is registered as a RR (Registered Representative) and started their career in finance in 2000. Shay has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shay W Scruggs's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2026 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027June 5, 2020 - June 9, 2026
ROCKEFELLER FINANCIAL LLC
June 5, 2020 - June 9, 2026
ROCKEFELLER FINANCIAL LLC
May 2, 2014 - July 2, 2020
UBS FINANCIAL SERVICES INC.
May 2, 2014 - July 2, 2020
UBS FINANCIAL SERVICES INC.
January 15, 2010 - May 13, 2014
DEUTSCHE BANK SECURITIES INC.
January 15, 2010 - May 13, 2014
DEUTSCHE BANK SECURITIES INC.
July 15, 2005 - January 25, 2010
UBS FINANCIAL SERVICES INC.
July 15, 2005 - January 25, 2010
UBS FINANCIAL SERVICES INC.
July 5, 2000 - July 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2000 - July 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
USCA SECURITIES LLC
CRD#: 103789 / SEC#: , 8-52285
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. CAPITAL WEALTH, LLC | OWNER | |
| BOWLING, ELIZABETH COURTNEY | HEAD OF LEGAL AND COMPLIANCE, U.S. CAPITAL WEALTH, LLC | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL WEALTH, LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | PRESIDENT AND MANAGING PARTNER, U.S. CAPITAL WEALTH, LLC | 2446459 |
| MARTINEZ, MARGARITA YVETTE | PFO/CONTROLLER | 4724529 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER | 1068809 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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