Rachel M. Brown
Professional summary
Rachel Marie Brown, CFP®, who also goes by Rachel Brown, Rachel Marie Zick, Rachel Zick, 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.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Rachel has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Rachel Marie Brown's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2014
Experience
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701January 13, 2011 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027January 13, 2011 - June 30, 2021
USCA RIA LLC
October 25, 2004 - January 21, 2011
UBS FINANCIAL SERVICES INC.
September 18, 2003 - January 21, 2011
UBS FINANCIAL SERVICES INC.
March 18, 2003 - June 26, 2003
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2021)
(1/13/2011)
(1/13/2011)
(1/13/2011)
(1/13/2011)
(4/13/2021)
(4/13/2021)
(1/20/2011)
(4/13/2021)
(4/13/2021)
(1/13/2011)
(1/13/2011)
(1/13/2011)
(2/4/2011)
(4/13/2021)
(6/12/2024)
(1/13/2011)
(1/13/2011)
(1/13/2011)
(1/13/2011)
(1/13/2011)
(4/13/2020)
(4/13/2021)
(5/12/2021)
(1/13/2011)
(6/30/2021)
(2/14/2025)
(1/15/2025)
(4/13/2021)
(4/13/2021)
(4/13/2021)
(1/27/2011)
(1/13/2011)
Exams
FINRA
Current Firm
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
Contact information
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.
