Legal and Compliance

FINRA
SIPC
MSRB

U.S. Capital Wealth, LLC – Form CRS
U.S. Capital Wealth, LLC – Form ADV Link
U.S. Capital Wealth ADV Part 2B Texas Brochure
U.S. Capital Wealth ADV Part 2B Outside Texas Brochure
U.S. Capital Wealth, LLC – Privacy Policy
USCA Securities LLC – Form CRS
USCA Asset Management LLC – Form ADV 2A and 2B
Fee Disclosure
Conflicts of Interest Disclosure
Disclosure of Available Wealth Management Services
Client Disclosures and Important Information
National Financial Services LLC brochure
FINRA Broker Check
Investment Advisor Public Disclosure
Fidelity Business Continuity Plan
Business Continuity Plan
Envestnet Form ADV
Important Information when Opening a New Account
Investors Exchange Rule Book
Bank Deposit Sweep Program Disclosure Document
Bank Deposit Sweep & Fidelity Fund Rates
Additional Disclosures for Retirement Accounts and Rollovers

A copy of the supplemental information may be found at Options Clearing Corporation’s website at:

OCC – Options Disclosure Document (theocc.com)
Options Disclosure Document Supplement – June 2024

To contact Compliance please send an email to [email protected].

SEC Rule 606 Report for NFS Order Flow ( PDF) – Quarter Ending September 30, 2025
SEC Rule 606 Report for NFS Order Flow ( XML) – Quarter Ending September 30, 2025
SEC Rule 606 Report for FlexTrade Order Flow (PDF) – Quarter Ending September 30, 2025
SEC Rule 606 Report for FlexTrade Order Flow (XML) – Quarter Ending September 30, 2025
SEC Rule 606 Report for NFS Order Flow ( PDF) – Quarter Ending June 30, 2025
SEC Rule 606 Report for NFS Order Flow ( XML) – Quarter Ending June 30, 2025
SEC Rule 606 Report for FlexTrade Order Flow (PDF) – Quarter Ending June 30, 2025
SEC Rule 606 Report for FlexTrade Order Flow (XML) – Quarter Ending June 30, 2025
SEC Rule 606 Report for NFS Order Flow ( PDF) – Quarter Ending March 31, 2025
SEC Rule 606 Report for NFS Order Flow ( XML) – Quarter Ending March 31, 2025
SEC Rule 606 Report for FlexTrade Order Flow (XLSX) – Quarter Ending Dec March 31, 2025
SEC Rule 606 Report for FlexTrade Order Flow (XML) – Quarter Ending March 31, 2025
SEC Rule 606 Report for NFS Order Flow (XLSX) – Quarter Ending December 31, 2024.xlsx
SEC Rule 606 Report for NFS Order Flow (XML) – Quarter Ending December 31, 2024.xml
SEC Rule 606 Report for FlexTrade Order Flow (PDF) – Quarter Ending December 31, 2024.pdf
SEC Rule 606 Report for FlexTrade Order Flow (XML) – Quarter Ending December 31, 2024.xml
SEC Rule 606 Report for NFS Order Flow (XLSX) – Quarter Ending September 30, 2024.xlsx
SEC Rule 606 Report for NFS Order Flow (XML) – Quarter Ending September 30, 2024.xml
SEC Rule 606 Report for FlexTrade Order Flow (PDF) – Quarter Ending September 30, 2024.pdf
SEC Rule 606 Report for FlexTrade Order Flow (XML) – Quarter Ending September 30, 2024.xml
SEC Rule 606 Report for NFS Order Flow ( PDF) – Quarter Ending June 30, 2024
SEC Rule 606 Report for NFS Order Flow ( XML) – Quarter Ending June 30, 2024
SEC Rule 606 Report for FlexTrade Order Flow (PDF) – Quarter Ending June 30, 2024
SEC Rule 606 Report for FlexTrade Order Flow (XML) – Quarter Ending June 30, 2024
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 June 30, 2024
SEC Rule 606 Report for NFS Order Flow (PDF) – Quarter Ending June 30, 2024
SEC Rule 606 Report for Flex Trade Trade Order Flow (PDF) – Quarter Ending June 30, 2024
SEC Rule 606 Report for Flex Trade Trade Order Flow (XML) – Quarter Ending June 30, 2024
SEC Rule 606 Report for NFS Order Flow – Quarter Ending March 31, 2019
SEC Rule 606 Report for Flextrade Order Flow – Quarter Ending March 31, 2019

Ordering Routing Information

SEC Rule 606 requires broker-dealers to disclose, on a quarterly basis and on a public website, the identity of the market centers to which they route a significant percentage of their orders. USCA Securities, LLC has a clearing relationship with clearing broker, National Financial Services, LLC (NFS). Please click on the link below to access this information.

https://clearingcustody.fidelity.com/trade-execution-quality/sec-rule-606