NE
Nicholas L. Erwin
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
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CRD#: 4794584
NE
Professional summary
Nicholas Laws Erwin, CFP®, who also goes by Nick Laws Erwin, 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.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Nicholas has worked at 5 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Laws Erwin
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.
1) ONE GREENWICH RHS LLC, INVESTMENT RELATED, Houston TX, FAMILY LLC USED TO PURCHASE PASSIVE INVESTMENT, DIRECTOR/OFFICER & M EMBER, START DATE 06/2016, 1 HOUR PER MONTH DEVOTED TO ACTIVTY, 0 HOURS PER MONTH DEVOTED TO ACTIVITY DURING SECURITIES TRADING HOURS. 2) ONE GREENWICH CF, LLC, INVESTMENT RELATED, HOUSTON, TX, FAMILY LLC USED TO PURCHASE PASSIVE INVESTMENTS, DIRECTOR/OFFICER OF LLC, START DATE 08/2018, DEVOTE APPROX. 0.50 HOURS PER MONTH TO ACTIVITY, DEVOTE 0 HOURS PER MONTH TO ACTIVITY DURING SECURITIES TRADING HOURS. 3) USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 05/2014; >1 hour/month; 1-8 during trading hours; broker 4) US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Laws Erwin's 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®
CFP®
Start date: 2010
Experience
Current
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701RIA
CRD#: 288199
AUSTIN, TX
Current
May 27, 2014 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
Houston, TX
Past
June 13, 2014 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
June 7, 2007 - June 5, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
June 7, 2007 - June 5, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
October 13, 2004 - June 21, 2007
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
HOUSTON, TX
Past
August 20, 2004 - June 21, 2007
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
HOUSTON, TX
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".
UC
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.RR
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
RR
Arizona(5/22/2017)
RR
Arkansas(1/22/2016)
RR
California(5/27/2014)
RR
Colorado(4/4/2024)
RR
District of Columbia(10/13/2025)
RR
Florida(5/27/2014)
RR
Georgia(5/27/2014)
RR
Illinois(5/27/2014)
RR
Indiana(5/27/2014)
RR
Kansas(6/9/2021)
RR
Louisiana(5/27/2014)
RR
Maryland(9/10/2015)
RR
Massachusetts(1/2/2025)
RR
Michigan(5/27/2014)
RR
Minnesota(7/2/2025)
RR
Mississippi(4/11/2016)
RR
Missouri(5/27/2014)
RR
New Hampshire(10/27/2025)
RR
New Mexico(5/27/2014)
RR
New York(5/27/2014)
RR
North Carolina(5/27/2014)
RR
Ohio(1/13/2020)
RR
Oklahoma(5/27/2014)
RR
Oregon(5/27/2014)
RR
Pennsylvania(5/27/2014)
RR
South Dakota(11/19/2014)
RR
Tennessee(7/1/2021)
RR
Texas(5/27/2014)
IAR
Texas(6/30/2021)
RR
Utah(12/3/2018)
RR
Virginia(5/27/2014)
RR
Washington(8/31/2016)
RR
West Virginia(12/21/2020)
RR
Wisconsin(10/25/2017)
RR
Wyoming(4/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
U.S. CAPITAL WEALTH ADVISORS, LLC
LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
RIA
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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
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.
