Shay W Scruggs

Current Employers

Arax Advisory Partners

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-08-19

TX RA
APPROVED

Since 2026-08-19

Branch Locations

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

4444 Westheimer Rd. Ste G-500 , Houston, TX 77027 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Houston	TX	05/2014	06/2020
Rockefeller Financial Llc	Dallas	TX	06/2020	06/2026
U.S. Capital Wealth, Llc	Houston	TX	07/2026	Present

05/2014 → 06/2020

Ubs Financial Services Inc.

Houston, TX
06/2020 → 06/2026

Rockefeller Financial Llc

Dallas, TX
07/2026 → Present

U.S. Capital Wealth, Llc

Houston, TX

Previous Registrations

2020-06-05 → 2026-06-09

Rockefeller Financial Llc

Houston, TX

Dallas, TX
2014-05-02 → 2020-07-02

Ubs Financial Services Inc.

Houston, TX

Houston, TX
2010-01-15 → 2014-05-13

Deutsche Bank Securities Inc.

Houston, TX
2005-07-15 → 2010-01-25

Ubs Financial Services Inc.

College Station, TX

Bryan, TX
2000-07-05 → 2005-07-19

Merrill Lynch, Pierce, Fenner & Smith Incorporated

College Station, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-07-03

S66 Uniform Combined State Law Examination

2000-07-03

View on SEC IAPD

Current Employers

Arax Advisory Partners

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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