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AP

Alexander F. Pedraza

USCA SECURITIES LLC
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 7064981
AP

Professional summary

Alexander Francis Pedraza is a registered financial professional currently at USCA 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.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Francis Pedraza's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 3, 2023 - Present

USCA SECURITIES LLC

Office #1: 2101 Cedar Springs Rd Suite 1850, Dallas, TX 75201
BD
CRD#: 103789
DALLAS, TX
Past

June 8, 2021 - November 11, 2021

AMADEUS WEALTH ALTERNATIVES, INC.

RIA
CRD#: 170408
Dallas, TX
Past

February 5, 2019 - March 23, 2021

TORRES FINANCIAL SERVICES, INC.

RIA
CRD#: 114486
SAN ANTONIO, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 5/3/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/18/2022
Securities Industry Essentials Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
U.S. CAPITAL WEALTH, LLCOWNER
BOWLING, ELIZABETH COURTNEYHEAD OF LEGAL AND COMPLIANCE, U.S. CAPITAL WEALTH, LLC6335464
DEJONCKHEERE, KASEY LIZANNCFO, U.S. CAPITAL WEALTH, LLC3071831
HODGES, ELIZABETHCHIEF COMPLIANCE OFFICER5418587
KING, DAVID MICHAELPRESIDENT AND MANAGING PARTNER, U.S. CAPITAL WEALTH, LLC2446459
MARTINEZ, MARGARITA YVETTEPFO/CONTROLLER4724529
MENDENHALL, PATRICK MICHAELMANAGING PARTNER1068809

Disclosures

Regulatory Event1
Arbitration2

Red Flags

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Company Information

USCA SECURITIES LLC

CRD#: 103789Dallas, TX 75201

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