CRD #103789 · FINRA BrokerCheck + SEC IAPD

Usca Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Usca Securities LLC ranks #2,466 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #43 of 189 on the same disclosure sort used on the state browse page. Usca Securities LLC carries 3 BrokerCheck disclosures across 7 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
7
branch offices
3
disclosures
#2,466 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 103789 Usca Securities LLC

Usca Securities LLC · Grade B · 3 disc · 0.43/office · Small firm

  • CRD 103789
  • GRADE B
  • DISC 3
  • REG 1
  • ARB 2
  • CIV 0
  • BRANCH 7
  • PER-OFF 0.43
  • RANK #2,466 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Ally Invest Securities LLC (0.43 disc/office)

Ally Invest Securities LLC0.43Delaware Distributors, …0.43Deloitte Corporate Fina…0.43Usca Securities LLC (this)0.43
Disclosures per office among small firm peers (lower is cleaner)

Usca Securities LLC ranks #2,466 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.43 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

7 offices

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

1 action

33% of all disclosures

Disclosures per office

0.43 per office

3 ÷ 7 offices

Usca Securities LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 63% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 2
Civil Events 0
Total 3

Counts for Usca Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Houston, TX, 77027
Formed
12/16/1999
State of Formation
Delaware
CRD Number
103789
SEC Number
52285

Heavy disclosure book

Usca Securities LLC in the heavier-disclosure third

Usca Securities LLC carries 3 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#2,466 of 20,055). Mix is 1 regulatory, 2 arbitration, and 0 civil (33% regulator share).

Usca Securities LLC ranks #2,466 of 20,055 by BrokerCheck disclosure count among graded firms (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Usca Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Texas cohort · 0.74× state average

Usca Securities LLC tracks near the Texas disclosure average

Usca Securities LLC reports 3 BrokerCheck disclosures, about 0.74× the Texas average of 4.0 across 189 graded firms.

In Texas, 110 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Usca Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Usca Securities LLC ranks #2,466 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #43 of 189 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Usca Securities LLC?
A grade of B reflects Usca Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 3 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Usca Securities LLC have?
Usca Securities LLC has 3 total FINRA disclosures, including 1 regulatory event, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Usca Securities LLC?
Usca Securities LLC operates 7 branch offices and is classified by FINRA as a small firm, registered in TX (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Usca Securities LLC's disciplinary record?
You can verify Usca Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 103789. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Usca Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Usca Securities LLC carries 3 disclosures across 7 branch offices (about 0.43 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Usca Securities LLC, both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.