James E. Carreker
Professional summary
James Eugene Carreker is a registered financial professional currently at USCA SECURITIES LLC located in Houston, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 1 firm and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Eugene Carreker's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2011 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/29/2013)
Exams
FINRA
Current Firm
USCA SECURITIES LLC
CRD#: 103789 / SEC#: , 8-52285
Contact information
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
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