John W. Cross

U.S. CAPITAL WEALTH ADVISORS

Coral Gables, FL 33134

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CRD#: 4500908

Professional summary

John Walter Cross IV, who also goes by John W Cross, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Coral Gables, Florida and USCA SECURITIES LLC located in Coral Gables, Florida.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John W Cross

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.

MARION MOORE FOUNDATION INC, INVESTMENT RELATED; NEW YORK, NY; CIO & DIRECTOR; START 5/1/2009; 2 HRS PER MONTH; 1 HR DURING TRADING, PRIVATELY FUNDED CHARITABLE FOUNDATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Walter Cross IV'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 28, 2025 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 2 Alahambra Plaza Suite 620, Coral Gables, FL 33134

RIA

CRD#: 288199

Coral Gables, FL

Current

March 25, 2025 - Present

USCA SECURITIES LLC

Office #1: 2 Alhambra Plaza Suite 620, Coral Gables, FL 33134

CRD#: 103789

Coral Gables, FL

Past

May 21, 2021 - December 31, 2024

LAIDLAW WEALTH MANAGEMENT LLC

RIA

CRD#: 150040

Coral Gables, FL

Past

May 5, 2021 - December 31, 2024

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

Coral Gables, FL

Past

September 9, 2014 - May 12, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CORAL GABLES, FL

Past

June 2, 2014 - May 12, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CORAL GABLES, FL

Past

March 28, 2002 - May 30, 2014

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

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

Connecticut
(1/29/2025)

Connecticut
(3/25/2025)

IAR

Florida
(1/28/2025)

Florida
(3/25/2025)

IAR

New York
(1/29/2025)

New York
(3/25/2025)

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: 9/5/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2002

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

John W. Cross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Walter Cross IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

LAIDLAW WEALTH MANAGEMENT LLC

LAIDLAW & COMPANY (UK) LTD.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BNP PARIBAS INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/27/2002

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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