AS
Angela T. Smithwick
USCA SECURITIES LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 5124165
AS
Professional summary
Angela Tryba Smithwick, who also goes by Angela Tracy Tryba, is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.
Angela is registered as a RR (Registered Representative) and started their career in finance in 2011. Angela has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Angela Tracy Tryba
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.
CRS (Client Relationship Summary) - BD
Click below to view Angela Tryba Smithwick'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®
NoneExperience
Current
January 31, 2017 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
Houston, TX
Past
September 12, 2011 - February 3, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/31/2017)
RR
Alaska(5/8/2018)
RR
Arizona(1/31/2017)
RR
Arkansas(1/31/2017)
RR
California(1/31/2017)
RR
Colorado(1/31/2017)
RR
Florida(1/31/2017)
RR
Georgia(1/31/2017)
RR
Illinois(1/31/2017)
RR
Indiana(3/5/2020)
RR
Kentucky(6/12/2019)
RR
Louisiana(1/31/2017)
RR
Maryland(10/21/2022)
RR
Michigan(3/2/2017)
RR
Minnesota(11/10/2017)
RR
Mississippi(1/31/2017)
RR
Montana(12/23/2019)
RR
New Jersey(1/31/2017)
RR
New Mexico(2/1/2018)
RR
New York(1/31/2017)
RR
North Carolina(2/1/2017)
RR
Ohio(8/5/2022)
RR
Oklahoma(1/31/2017)
RR
Oregon(1/31/2017)
RR
Pennsylvania(7/4/2023)
RR
South Carolina(1/7/2019)
RR
Texas(1/31/2017)
RR
Virginia(1/31/2017)
RR
Washington(1/31/2017)
RR
West Virginia(5/25/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
US
USCA SECURITIES LLC
LEDGEWOOD CAPITAL MANAGEMENT, LLC | USCA SECURITIES LLC | U.S. CAPITAL WEALTH | U.S. CAPITAL ADVISORS
CRD#: 103789 / SEC#: , 8-52285
BD
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)
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.
