Disclosures

• USCA Client Relationship Form (Form CRS)

• USCA Conflicts of Interest Disclosure

• USCA Available Services Disclosure

• USCA Fee Disclosure

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

• USCA RIA LLC - Form ADV Part 2A, 2A - Appendix 1, and 2B (Firm Brochure, Wrap Brochure, and Brochure Supplement)

• USCA Patriot Act Beneficial Ownership Notice

Links for Additional Information 

• FINRA Broker Check

• Investment Advisor Public Disclosure

• National Financial Services LLC brochure

• Envestnet Form ADV

• Options Disclosure Booklet

Business Continuity Plans

• USCA Business Continuity Plan

• Fidelity Business Continuity Plan

Trading and Best Execution Information

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending June 30, 2020

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending June 30, 2020

• SEC Rule 606 Report for Flextrade Order Flow (PDF) – Quarter Ending June 30, 2020

• SEC Rule 606 Report for Flextrade Order Flow (XML) – Quarter Ending June 30, 2020

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending March 31, 2020

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending March 31, 2020

• SEC Rule 606 Report for Flextrade Order Flow (PDF) – Quarter Ending March 31, 2020

• SEC Rule 606 Report for Flextrade Order Flow (XML) – Quarter Ending March 31, 2020

• Investors Exchange Rule Book

Memberships and Affiliations

• FINRA
• SIPC
• MSRB

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