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Investment Adviser Firm Summary

USCA RIA LLC (CRD# 152170 / SEC# 801-72105)
Alternate Names: U.S. CAPITAL ADVISORS LLC ("USCA") , USCA RIA LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/20/2011
Texas Terminated 02/14/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/05/2012
Arizona 09/23/2011
Arkansas 09/23/2011
California 09/23/2011
Colorado 09/23/2011
Connecticut 09/23/2011
Delaware 03/05/2012
District of Columbia 09/23/2011
Florida 09/26/2011
Georgia 03/05/2012
Hawaii 03/05/2012
Idaho 03/05/2012
Illinois 10/03/2011
Indiana 09/23/2011
Iowa 03/05/2012
Kansas 09/23/2011
Kentucky 03/05/2012
Louisiana 09/23/2011
Maine 09/23/2011
Maryland 03/05/2012
Massachusetts 09/23/2011
Michigan 09/23/2011
Minnesota 09/23/2011
Mississippi 09/23/2011
Missouri 03/05/2012
Nebraska 03/05/2012
Nevada 09/23/2011
New Hampshire 03/05/2012
New Jersey 10/20/2011
New Mexico 09/23/2011
New York 09/23/2011
North Carolina 09/23/2011
Ohio 09/23/2011
Oklahoma 09/23/2011
Oregon 03/05/2012
Pennsylvania 09/23/2011
Rhode Island 03/05/2012
South Carolina 03/05/2012
Tennessee 09/23/2011
Texas 01/20/2011
Utah 09/23/2011
Vermont 03/05/2012
Virgin Islands 03/05/2012
Virginia 09/23/2011
Washington 09/23/2011
West Virginia 03/05/2012
Wisconsin 03/05/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser