Alexander Francis Pedraza
Professional Summary
Alexander Francis Pedraza is a registered financial advisor currently at ARAX SECURITIES LLC located in Dallas, Texas. Alexander is registered as a RR (Registered Representative) and started their career in finance in 2019. Alexander has worked at 3 firms and has passed the Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
ARAX SECURITIES LLC | USCA SECURITIES LLC | U.S. CAPITAL WEALTH | U.S. CAPITAL ADVISORS | LEDGEWOOD CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
4444 Westheimer Suite G500, Houston, TX 77027Mailing Address
4444 Westheimer Suite G500, Houston, TX 77027Phone Number
(713) 366-0500Established
Delaware since 12/16/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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, U.S. CAPITAL WEALTH, LLC | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL WEALTH, LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | PRESIDENT AND MANAGING PARTNER, U.S. CAPITAL WEALTH, LLC | 2446459 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER | 1068809 |
| RYAN, KIMBERLY ANN | FINOP | 4316310 |
Disclosures
Regulatory Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed May 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alexander Francis Pedraza's CRS (Customer Relationship Summary).
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