Our Structure
To meet the diverse needs of its clients, US Capital Wealth operates through three specialized business entities, each with its own governance and oversight. Their respective services are described below. For specific legal and regulatory disclosures, please see the relevant links at the bottom of this page.
U.S. Capital Wealth Advisors is an SEC-registered investment advisor firm. Within a wealth management enterprise, the RIA typically serves as the entity responsible for delivering personalized investment strategies, portfolio management, and planning solutions—offering clients transparent, objective guidance aligned with their long-term goals. The following services are provided by U.S. Capital Wealth Advisors to clients in its role as an RIA.
Financial Planning
Tax Planning
Estate and Legacy Planning
Retirement Planning
Insurance and Annuity Planning
Business Planning and Advice
Succession Planning
Education Savings Planning
Investment Advice and Management
Margin and Lending Advice
Family and Executive Services
USCA Securities is the broker-dealer entity. Broker-dealers offer access to a wide range of securities—such as stocks, bonds, mutual funds, and alternatives—and typically earn commissions on product transactions rather than providing ongoing advisory solutions. The products and services listed below are offered through USCA Securities.
Investment Products
Equities
Taxable and Tax-Exempt Bonds
Alternative Investments
Cash solutions
Insurance Products
Annuities
Life Insurance
Long-term Care
Brokerage Accounts and Services for
Businesses and Individuals
Margin-based lending
Securities-based lending
Margin and Lending Advice
Institutional Services
Investment Banking Services
Independent Investment Research
Corporate Access
Sales and Equity Trading
USCA Municipal Advisors is an MSRB-regulated municipal advisory firm. This entity provides advice to state and local governments, public entities, and agencies on matters related to municipal securities. Below is an overview of the advice and services offered by USCA Municipal Advisors to its clients.
Advice to Municipal Entities and
Obligated Persons
Guidance and support for bond elections
Rating agency presentations
SEC Rule 15c-12 disclosure filings
Issuance timing and price guidance
Review of available financing options
Bond Workshops
Assistance with applications for State and
Federal funding programs
