JD
John O. Dix
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
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CRD#: 68764
JD
Professional summary
John Olwyn Dix JR is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Austin, Texas and USCA SECURITIES LLC located in Dallas, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. John has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, PC, Series 1, Series 9, Series 10, Series 24, Series 4 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) J&J DIX PROPERTIES, LLC, NOT INVESTMENT-RELATED, 4500 BORDEAUX AVE, DALLAS, TX 75205, MEMBER, START DATE 06/2016, DEVOTE 0 HOURS TO ACTIVITY, FAMILY LLC CREATED FOR PRIVATE SECURITIES INVESTMENTS. 2)Jacqueline B Dix and John O Dix Jr; Investment related; Chatham NY; Rental; Landlord; June 2020;0 hours/month during market hours 3) USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 02/2016; >1 hour/month; 1-8 during trading hours; broker 4) US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; Senior Managing Director; 06/2021; >1 hour/month; 1-8 during trading hours; advisor
CRS (Client Relationship Summary) - RIA
Click below to view John Olwyn Dix JR'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
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
February 12, 2016 - Present
USCA SECURITIES LLC
Office #1: 2101 Cedar Springs Rd Suite 1850, Dallas, TX 75201BD
CRD#: 103789
DALLAS, TX
Past
February 12, 2016 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
Dallas, TX
Past
July 29, 2005 - February 16, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DALLAS, TX
Past
July 29, 2005 - February 16, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DALLAS, TX
Past
August 23, 1983 - August 2, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
February 24, 1978 - August 2, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 17, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
November 8, 1972 - March 6, 1975
SHEARSON, HAMMILL & CO., INCORPORATED
BD
CRD#: 766
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
Alabama(5/26/2021)
RR
Arizona(2/12/2016)
RR
Arkansas(1/22/2018)
RR
California(2/12/2016)
RR
Colorado(2/12/2016)
RR
District of Columbia(2/12/2016)
RR
Florida(2/12/2016)
RR
Georgia(2/12/2016)
RR
Illinois(2/12/2016)
RR
Kansas(2/12/2016)
RR
Kentucky(2/12/2016)
RR
Louisiana(2/12/2016)
RR
Maryland(1/27/2020)
RR
Missouri(2/12/2016)
RR
New Jersey(11/18/2025)
RR
New Mexico(2/12/2016)
RR
New York(2/12/2016)
RR
North Carolina(2/12/2016)
RR
Ohio(3/21/2025)
RR
Pennsylvania(2/12/2016)
RR
South Carolina(2/12/2016)
RR
Tennessee(4/6/2020)
RR
Texas(2/12/2016)
IAR
Texas(6/30/2021)
RR
Utah(2/12/2016)
RR
Virginia(2/12/2016)
RR
Washington(11/24/2017)
RR
Wyoming(1/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 2/6/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 11/3/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 5/3/1976
Registered Principal ExaminationSRO 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.
