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JG

James F. Gilley

USCA SECURITIES LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 843426
JG

Professional summary

James Fountain Gilley SR, who also goes by James Fountain Gilley, Jim Gilley, 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 1977. James has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 50, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Fountain Gilley | Jim Gilley

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 James Fountain Gilley SR'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

April 16, 2013 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027
BD
CRD#: 103789
Houston, TX
Past

March 4, 1992 - May 1, 2013

COASTAL SECURITIES, INC.

BD
CRD#: 27834
HOUSTON, TX
Past

October 3, 1977 - March 4, 1992

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
DALLAS, TX

State Registrations and Notice Filings

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

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
Texas
(4/16/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 2/11/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 9/17/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/28/1997
Municipal Securities Principal 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

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.

Company Information

USCA SECURITIES LLC

CRD#: 103789Houston, TX 77027

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