John Howle: $499K Complaint Against USCA Advisor

A recent investor complaint against Dallas financial advisor John Howle (CRD# 1284162) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with USCA Securities and an investment advisor with US Capital Wealth Advisors.

Mr. Howle’s BrokerCheck report discloses one recent investor complaint. Filed in May 2024, the complaint “makes claims related to the recommendation and performance of specific securities” sold between 2017 and 2022, including bond funds, closed-end funds, and exchange-traded funds. The pending complaint alleges damages of $499,000.

US Capital Wealth Advisors’ website includes a profile of Mr. Howle that describes him as the firm’s Managing Director. “Prior to joining USCA, Mr. Howle was a Senior Vice President/Investments with Truth Capital Advisors of Raymond James and Associates,” it states. “Mr. Howle had been with Raymond James since 2002, specializing in applying a fixed income focus to his wealth management practice.”

A separate page describes the firm’s values, including teamwork and accountability. “Our entrepreneurial culture and high-level of trust and respect for our colleagues allows us to work together to deliver the best client experience,” it explains. “We strive to do our very best in everything that we do and take responsibility to deliver on our commitments.”

According to the Financial Industry Regulatory Authority, John Howle holds 39 years of securities industry experience. Based in Dallas, Texas, he has been registered as a broker with USCA Securities since 2014 and an investment advisor with US Capital Wealth Advisors since 2021. His past registrations include Raymond James & Associates, May Financial Corporation, SWS Securities, Southwest Securities, Barre & Company, Addison Securities, and Dean Witter Reynolds. His credentials include the passage of six securities industry qualifying exams: the Municipal Securities Principal Examination, or Series 53; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Municipal Securities Representative Examination, or Series 52TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, Arkansas, California, Colorado, Florida, Georgia, Kansas, Kentucky, Michigan, Missouri, Nevada, New Mexico, New York, Ohio, Pennsylvania, Texas, Wisconsin, and Wyoming. (Information current as of June 22, 2024.)

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