Memberships and Affiliations

• FINRA
• SIPC
• MSRB

Disclosures and Other lmportant Information

• SEC Rule 606 Report for NFS Order Flow - Quarter Ending September 30, 2019

• SEC Rule 606 Report for Flextrade Order Flow – Quarter Ending September 30, 2019

• USCA Asset Management LLC - Form ADV Part 2A and 2B

• USCA RIA LLC - Form ADV Part 2A and 2B

• National Financial Services LLC brochure

• FINRA Broker Check

• Investment Advisor Public Disclosure

• Fidelity Business Continuity Plan

• USCA Business Continuity Plan

• Envestnet Form ADV

• Client Information Disclosures

• Important Information when Opening a New Account

• Investors Exchange Rule Book

Options Disclosure Document

A copy of the supplemental information may be found at Options Clearing Corporation’s website at:

• http://www.optionsclearing.com/about/publications/character-risks.jsp

To contact Compliance please send an email to sgott@uscallc.com.