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10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-07-20 |
Branch Locations
10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States
300 West 6Th Street Suite 1900, Austin, TX 78701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Austin | TX | 01/2001 | 06/2024 |
| Usca Securities Llc | Austin | TX | 06/2024 | Present |
| U.S. Capital Wealth Advisors, Llc | Austin | TX | 06/2024 | 06/2026 |
| Arax Advisory Partners | Austin | TX | 06/2026 | Present |
1) BAREFOOT MEN, LLC. CAYMAN ISLANDS, KYI-1204. YES - INVESTMENT RELATED. BUSINESS - CONDO RENTAL IN GRAND CAYMEN. TITLE - 1 OF 4 PARTNERS. START DATE - 12/31/2003. 1 HR/MONTH. DUTIES - WORK WITH 3 PARTNERS - MAKE DECISIONS AS IT RELATES TO MANAGEMENT OF THE UNIT. 2) SD&S Real Estate, LLC/ investment related?: yes/ 8501 Calera Dr, Austin, Texas, 78735/ Partnership/ The LLC will invest in rental property to create income and capital gains./ Executive director/ I am the managing partner and will make most of the decisions regarding the management of the property./ start date: 4/30/2021
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-06 |
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