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  • About USCA
    • Capabilities
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      • Management
      • Wealth Management
        • Advisors/Advisor Teams - Houston
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      • Institutional Sales and Trading Contacts
      • Research Contacts
      • Investment Banking Contacts
      • Merchant Banking Contacts
      • Public Finance Contacts
    • History
    • Leadership
    • Values
  • Wealth Management
    • Advisors/Advisor Teams - Houston
    • Advisors - Austin
    • Advisors - Dallas
  • Capital Markets
    • Institutional Client Group
      • Coverage Universe
      • Institutional Sales and Trading Contacts
    • Research
      • Research Contacts
      • Coverage Universe
    • Investment Banking
      • Investment Banking Contacts
      • Selected Issuers
    • Merchant Banking
      • Merchant Banking Contacts
      • Merchant Banking Transactions
    • Public Finance
      • Public Finance Contacts
      • Public Finance Selected Clients
      • Public Finance Selected Transactions Summary
      • Public Finance Selected Transactions Detail
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Legal and Compliance

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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.

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Securities offered through USCA Securities LLC, member FINRA/SIPC; Investment advisory services offered through USCA RIA LLC and USCA Asset Management LLC; Municipal advisory services offered through USCA Municipal Advisors LLC, MSRB registered.

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