NG
Nathaniel W. Galloway
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
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CRD#: 6986859
NG
Professional summary
Nathaniel Wayne Galloway 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.
Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nathaniel has worked at 3 firms and has passed the Series 66, SIE and Series 7 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. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 06/2018; >1 hour/month; 1-8 during trading hours; broker 2. 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 Nathaniel Wayne Galloway'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
November 28, 2018 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
Houston, TX
Past
March 27, 2019 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
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
Alabama(4/2/2019)
RR
Arkansas(4/2/2019)
RR
Florida(4/2/2019)
RR
Georgia(4/2/2019)
RR
Illinois(4/2/2019)
RR
Louisiana(4/2/2019)
RR
Maine(5/9/2023)
RR
Massachusetts(5/9/2023)
RR
Mississippi(4/2/2019)
RR
Nebraska(8/27/2024)
RR
New Jersey(4/2/2019)
RR
New York(4/2/2019)
RR
North Carolina(4/2/2019)
RR
Ohio(6/28/2023)
RR
Oklahoma(4/2/2019)
RR
Tennessee(4/2/2019)
RR
Texas(4/2/2019)
IAR
Texas(6/30/2021)
RR
Utah(11/9/2020)
RR
Virginia(4/2/2019)
RR
Wyoming(4/2/2019)
Exams
State Security Law 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
Registered Investment Advisory firm - (5/3/2017 Approved)Upgrade to AdvisorCheck Premium
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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.
