Disclosures

• USCA Client Relationship Form (Form CRS)

• USCA Conflicts of Interest Disclosure

• USCA Available Services Disclosure

• USCA Asset Management LLC - Form ADV Part 2A and 2B (Firm Brochure and Brochure Supplement)

• U.S. Capital Wealth Advisors, LLC - Form ADV Part 2A  (Firm Brochure)

• U.S. Capital Wealth Advisors, LLC - Form ADV Part 2B (Brochure Supplement)

• USCA Patriot Act Beneficial Ownership Notice

• USCA Fee Disclosure

• Bank Deposit Sweep Program Disclosure Document

• Bank Deposit Sweep & Fidelity Fund Rates

• Additional Disclosures for Retirement Accounts and Rollovers

• USCA Social Media Disclosure

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

• USCA COVID-19 Business Continuity Plan

• Fidelity Business Continuity Plan

Trading and Best Execution Information

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending March 31, 2024

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending March 31, 2024

• SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) - Quarter Ending March 31, 2024

• SEC Rule 606 Report for Flex Trade Trade Order Flow (XML) - Quarter Ending March 31, 2024
  

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending December 31, 2023

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending December 31, 2023

• SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) - Quarter Ending December 31, 2023

• SEC Rule 606 Report for Flex Trade Trade Order Flow (XML) - Quarter Ending December 31, 2023

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending September 30, 2023

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending September 30, 2023

• SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) - Quarter Ending September 30, 2023

• SEC Rule 606 Report for Flex Trade Trade Order Flow (XML) - Quarter Ending September 30, 2023

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending June 30, 2023

• SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) - Quarter Ending June 30, 2023

• SEC Rule 606 Report for Flex Trade Order Flow (XML) - Quarter Ending June 30, 2023

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending March 31, 2023

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending March 31, 2023

• SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) - Quarter Ending March 31, 2023

• SEC Rule 606 Report for Flex Trade Order Flow (XML) - Quarter Ending March 31, 2023

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending December 31, 2022

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending December 31, 2022

• SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) - Quarter Ending December 31, 2022

• SEC Rule 606 Report for Flex Trade Order Flow (XML) - Quarter Ending December 31, 2022

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending September 30, 2022

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending September 30, 2022

• SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) - Quarter Ending September 30, 2022

• SEC Rule 606 Report for Flex Trade Order Flow (XML) - Quarter Ending September 30, 2022

• SEC Rule 606 Report for NFS Trade Order Flow (PDF) - Quarter Ending June 30, 2022

• SEC Rule 606 Report for NFS Trade Order Flow (XML) - Quarter Ending June 30, 2022

• SEC Rule 606 Report for Flex Trade Order Flow (PDF) - Quarter Ending June 30, 2022

• SEC Rule 606 Report for Flex Trade Order Flow (XML) - Quarter Ending June 30, 2022

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending March 31, 2022

• SEC Rule 606 Report for NFS Trade Order Flow (XML) - Quarter Ending March 31, 2022

• SEC Rule 606 Report for Flex Trade Order Flow (PDF) - Quarter Ending March 31, 2022

• SEC Rule 606 Report for Flex Trade Order Flow (XML) - Quarter Ending March 31, 2022

• SEC Rule 606 Report for NFS Order Flow (PDF) - Quarter Ending December 31, 2021

• SEC Rule 606 Report for NFS Order Flow (XML) - Quarter Ending December 31, 2021

• SEC Rule 606 Report for Flex Trade Order Flow (PDF) - Quarter Ending December 31, 2021

• SEC Rule 606 Report for Flex Trade Order Flow (XML) - Quarter Ending December 31, 2021

• SEC Rule 606 Report for NFS Order Flow ( PDF) - Quarter Ending September 30, 2021

• SEC Rule 606 Report for NFS Order Flow ( XML) - Quarter Ending September 30, 2021

• SEC Rule 606 Report for FlexTrade Order Flow (PDF) – Quarter Ending September 30, 2021

• SEC Rule 606 Report for FlexTrade Order Flow (XML) – Quarter Ending September 30, 2021

• SEC Rule 606 Report for NFS order Flow (PDF) - Quarter Ending June 30, 2021

• SEC Rule 606 Report for NFS order Flow (XML) - Quarter Ending June 30, 2021

• SEC Rule 606 Report for Flextrade order Flow (PDF) - Quarter Ending June 30, 2021

• SEC Rule 606 Report for Flextrade order Flow (XML) - Quarter Ending June 30, 2021

• SEC Rule 606 Report for NFS order Flow (PDF) - Quarter Ending March 31, 2021

• SEC Rule 606 Report for NFS order Flow (XML) - Quarter Ending March 31, 2021

• SEC Rule 606 Report for Flextrade order Flow (PDF) - Quarter Ending March 31, 2021

• SEC Rule 606 Report for Flextrade order Flow (XML) - Quarter Ending March 31, 2021

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

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

• SEC Rule 606 Report for Flextrade order Flow (PDF) - Quarter Ending December 31, 2020

• SEC Rule 606 Report for Flextrade order Flow (XML) - Quarter Ending December 31, 2020

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

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

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

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

• 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.