Lavada F. Waters

U.S. CAPITAL WEALTH ADVISORS

Houston, TX 77027

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CRD#: 4258820

Professional summary

Lavada Fulgham Waters, who also goes by Lavada L Fulgham, Lavada Lynn Fulgham, Lavada Fulgham, 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.

Lavada is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Lavada has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lavada L Fulgham | Lavada Lynn Fulgham | Lavada Fulgham

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.

LAVADA FULGHAM IS DUALLY-REGISTERED WITH INSCRIPTION CAPITAL, LLC d/b/a SOUND POST CAPITAL AND PURSHE KAPLAN STERLING INVESTMENTS, INC. LAVADA FULGHAM HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FOR INSCRIPTION CAPITAL, LLC SINCE 05/2019 AND A REGISTERED REPRESENTATIVE WITH PURSHE KAPLAN STERLING INVESTMENTS, INC SINCE 04/2019. BUSINESS IS CONDUCTED FROM HOUSTON, TX 77098. APPROXIMATELY 95% OF LAVADA FULGHAM'S TIME IS FOR SERVICES AS AN INVESTMENT ADVISOR REPRESENTATIVE AND THE BALANCE AS A REGISTERED REPRESENTATIVE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lavada Fulgham Waters'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 29, 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 29, 2025 - Present

USCA SECURITIES LLC

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

CRD#: 103789

Houston, TX

Past

May 13, 2019 - February 24, 2025

INSCRIPTION CAPITAL, LLC

RIA

CRD#: 291780

HOUSTON, TX

Past

April 22, 2019 - February 1, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Houston, TX

Past

March 19, 2008 - May 26, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

March 18, 2008 - May 26, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

October 25, 2004 - November 21, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

October 7, 2004 - November 21, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

September 20, 2000 - October 20, 2004

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, 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

Texas
(1/29/2025)

IAR

Texas
(1/29/2025)

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 66

Date: 11/27/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2000

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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Lavada F. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lavada Fulgham Waters's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

INSCRIPTION CAPITAL, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2000

SIE

Date: 5/26/2017

Series 7

Date: 9/19/2000

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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