Margarita Y. Martinez

USCA SECURITIES LLC

Houston, TX 77027

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CRD#: 4724529

Professional summary

Margarita Yvette Martinez is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.

Margarita is registered as a RR (Registered Representative) and started their career in finance in 2003. Margarita has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Margarita Yvette Martinez'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

November 3, 2022 - Present

USCA SECURITIES LLC

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

CRD#: 103789

Houston, TX

Past

June 30, 2017 - October 24, 2022

GLOBAL FINANCIAL SERVICES, L.L.C.

CRD#: 35699

HOUSTON, TX

Past

June 17, 2008 - August 22, 2017

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

May 16, 2007 - December 12, 2007

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

SAN ANTONIO, TX

Past

December 4, 2003 - August 29, 2006

TD SECURITIES (USA) LLC

CRD#: 18476

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(11/3/2022)

Exams

State Security Law Exam

Series 63

Date: 2/19/2004

Uniform Securities Agent State Law 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 7

Date: 12/3/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 4/24/2018

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

Current Firm

USCA SECURITIES LLC

LEDGEWOOD CAPITAL MANAGEMENT, LLC | USCA SECURITIES LLC | U.S. CAPITAL WEALTH | U.S. CAPITAL ADVISORS

CRD#: 103789 / SEC#: , 8-52285

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

4444 Westheimer Suite G500, Houston, TX 77027

Mailing Address

4444 Westheimer Suite G500, Houston, TX 77027

Phone number

(713) 366-0500

Established

Delaware since 12/16/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
U.S. CAPITAL WEALTH, LLC	OWNER
BOWLING, ELIZABETH COURTNEY	HEAD OF LEGAL AND COMPLIANCE	6335464
DEJONCKHEERE, KASEY LIZANN	CFO, U.S. CAPITAL ADVISORS LLC	3071831
HODGES, ELIZABETH	CHIEF COMPLIANCE OFFICER	5418587
KING, DAVID MICHAEL	MANAGING PARTNER	2446459
MARTINEZ, MARGARITA YVETTE	PFO/CONTROLLER	4724529
MENDENHALL, PATRICK MICHAEL	MANAGING PARTNER/HEAD OF WEALTH MANAGEMENT	1068809
SURPRENANT, THERESE	LEGAL & REGULATORY COUNSEL

Disclosures

Regulatory Event	1
Arbitration	2

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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Margarita Y. Martinez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Margarita Yvette Martinez's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL SERVICES, L.L.C.

SANDERS MORRIS LLC

FROST BROKERAGE SERVICES, INC.

TD SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/19/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/3/2003

Series 27

Date: 4/24/2018

FINRA

Investors' Exchange LLC

Current Firm

USCA SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

USCA SECURITIES LLC

TRUST BUT VERIFY

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