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FIRM PROFILE
Overview
USCA SECURITIES LLC is located at 4444 Westheimer Suite G500, Houston, TX 77027 and was first established at Dallas, Delaware in 12/16/1999. After operating for 26 years, USCA SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of USCA SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. USCA SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at USCA SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 3 disclosures, 1 being regulatory events, 0 being client events, and 2 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access USCA SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at USCA SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for USCA SECURITIES LLC Comes From
Understanding the Statistics for USCA SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
4444 Westheimer Suite G500, Houston, TX 77027
4444 Westheimer Suite G500, Houston, TX 77027
Small
(713) 366-0500
Delaware since 12/16/1999
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| U.S. CAPITAL WEALTH, LLC | OWNER | ||
| BOWLING, ELIZABETH COURTNEY | HEAD OF LEGAL AND COMPLIANCE | 6335464 | |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL ADVISORS LLC | 3071831 | |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 | |
| KING, DAVID MICHAEL | MANAGING PARTNER | 2446459 | |
| MARTINEZ, MARGARITA YVETTE | PFO/CONTROLLER | 4724529 | |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER/HEAD OF WEALTH MANAGEMENT | 1068809 | |
| SURPRENANT, THERESE | LEGAL & REGULATORY COUNSEL |
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Advisor's working at USCA SECURITIES LLC
Gayle Ann Terry
Idania Danielle Reyes
Samuel D Parker Jr.
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