USCA Municipal Advisors Amends Individual Advisor Registration for Lewis Adrian Wilks

TL;DR

**USCA Municipal Advisors updated an individual advisor's registration, signaling potential internal changes.**

AI Summary

USCA Municipal Advisors LLC filed an amended MA-I/A form on March 23, 2026, to update the registration for an individual, Lewis Adrian Wilks. This filing, accepted on March 24, 2026, indicates a change or update in the registration details for a key person within the firm. For investors, this matters because changes in individual registrations, especially for advisors, can signal shifts in personnel or compliance status, which could impact the firm's operational stability and client relationships.

Why It Matters

This filing updates the registration for a specific individual, Lewis Adrian Wilks, within USCA Municipal Advisors LLC, which could reflect changes in their role or compliance status.

Risk Assessment

Risk Level: low — This is a routine administrative update for an individual's registration and does not indicate significant financial or operational risk.

Analyst Insight

Investors should note this as a routine compliance update; no immediate action is required unless further information emerges regarding the nature of the amendment for Lewis Adrian Wilks.

Key Players & Entities

• USCA Municipal Advisors LLC (company) — Filer of the MA-I/A form
• Lewis Adrian Wilks (person) — Individual whose municipal advisor registration was amended
• March 23, 2026 (date) — Filing Date of the MA-I/A
• March 24, 2026 (date) — Acceptance Date of the MA-I/A

FAQ

Filing Documents

• primary_doc.html (MA-I/A)
• primary_doc.xml (MA-I/A) — 13KB
• 0001623602-26-000006.txt ( ) — 14KB

Identifying Information

Item 1 Identifying Information A. The Individual Full Legal Name: Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line. Last Name: Wilks First Name: Lewis Middle Name: Adrian Suffix: Individual CRD No.: (if any) 3017730 B. Municipal Advisory Firms Where the Individual Is Employed In providing your responses, please note that the definition of " employee " for purposes of this form includes an independent contractor who engages in municipal advisory activities on behalf of a municipal advisory firm . See Glossary of Terms. Is the individual employed at more than one municipal advisory firm ? YES NO Enter the number of municipal advisory firms the individual is employed with (sole proprietors not employed with any other firm enter 1). (For individuals who are employed with more than one firm, provide the information required by this Item 1-B for each such firm. For sole proprietors, enter the legal name under which you conduct your municipal advisor-related activities, and skip to Item 1-B.1.) 1 Municipal Advisory Firm's CIK: Full Legal Name of municipal advisory firm with which the individual is employed:  USCA Municipal Advisors LLC Name under which municipal advisor-related business is primarily conducted, if different from above: USCA Securities LLC Date that the individual's most recent employment with this municipal advisory firm commenced (MM/DD/YYYY): 05-08-2013 Does the individual have an independent contractor relationship with the above-named firm? YES NO (1) Municipal Advisory Firm's Registration Information: Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below. Is the municipal advisory firm currently registered on Form MA as a municipal advisor ? (Answer "Yes" if you have already filed Form MA and your application for registration on that form has been approved. Otherwi

Other Names

Item 2 Other Names Enter the following information for all other names that the individual has used or is using, or by which the individual is known or has been known, other than the individual´s legal name, since the age of 18.  This space should include, for example, nicknames, aliases, and names used before or after marriage.

Residential History

Item 3 Residential History Starting with the current address, enter the following information for all the individual´s residential addresses for the past 5 years. Leave no gaps greater than three months between addresses. Report changes in an amendment to this form as they occur in the future. Private residential addresses will not be included in publicly available versions of this form. Current Address From: To: Street Address 1: Street Address 2: Postal Code:

Employment History

Item 4 Employment History Provide complete employment history of the individual for the past 10 years. Include the municipal advisory firm(s) entered in Item 1-B. Enter the following information for each employer. Account for all time, leaving no gaps longer than three months. Include full- and part-time employment, self-employment, military service, and homemaking. Also include statuses such as unemployed, full-time education, extended travel, or other similar statuses. Such statuses should be entered in the space provided below for "Name of Municipal Advisory Firm or Company."  Current Employer From: 05-2013 To: of Municipal Advisory Firm or Company: Name of Municipal Advisory Firm or Company: USCA MUNICIPAL ADVISORS LLC Houston TX Postal Code: 77027 Municipal Advisor-Related Business? YES NO Investment-Related Business? YES NO Position Held: Managing Director Prior to the Above Prior employment history must be entered in reverse chronological order. Prior Address From (MM/YYYY): 01-1998 To (MM/YYYY): 05-2013 Name of Municipal Advisory Firm or Company: COASTAL SECURITIES INC TX Postal Code: 77057 Municipal Advisor-Related Business? YES NO Investment-Related Business? YES NO Position Held: Managing Director

Other Business

Item 5 Other Business Is the individual currently engaged in any other business either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise? YES NO If "Yes", please enter the following details for each other business below: Other Business Start Date: 05-2013 Name of Business: USCA Securities LLC Street Address 1: 4444 Westheimer Street Address 2: Suite G500 TX Postal Code: 77027 Is this a municipal advisor-related business? YES NO Is this an investment-related business? YES NO Nature of Business: USCA Securities is a registered broker-dealer and an affiliate of USCA Municipal Advisors. Position/Title/Relationship: Registered Representative Approximate No. of Hours/Month Devoted to This Business: 0 Description of Duties: Dual Registration required by Firm Other Business Start Date: 01-1995 Name of Business: Wilks Energy, Inc. Street Address 1: 433 FM 2035 Street Address 2: TX Postal Code: 79556 Is this a municipal advisor-related business? YES NO Is this an investment-related business? YES NO Nature of Business: Ranch land with wind and oil and gas royalties Position/Title/Relationship: Shareholder Approximate No. of Hours/Month Devoted to This Business: 1 Description of Duties: Review and preparing lease agreements. Other Business Start Date: 01-1980 Name of Business: Gibson Products Co. of Kerrville, Inc. Street Address 1: 111 West Main St. Street Address 2: TX Postal Code: 78028 Is this a municipal advisor-related business? YES NO Is this an investment-related business? YES NO Nature of Business: Retail Discount Store Position/Title/Relationship: Shareholder, Treasurer Approximate No. of Hours/Month Devoted to This Business: 3 Description of Duties: Review financials and CAPX needs and approve store sales and marketing strategy. Other Business Start Date: 02-201

Disclosure Information

Item 6 Disclosure Information IF THE ANSWER TO ANY OF THE QUESTIONS IN ITEMS 6A – 6J AND 6M IS "YES," PROVIDE DETAILS OF ALL EVENTS OR PROCEEDINGS ON THE APPROPRIATE DISCLOSURE REPORTING PAGES (DRPs). One event or proceeding may result in the requirement to answer "Yes" to more than one question below. Refer to the Glossary of Terms for definitions or descriptions of italicized terms. CRIMINAL ACTION DISCLOSURE If the answer is "Yes" to any question below in Item 6A or 6B, complete a Criminal Action DRP . Item 6A. (1) Has the individual ever: (a) been convicted of any felony , or pled guilty or nolo contendere ("no contest") to any charge of a felony in a domestic, foreign, or military court? YES NO (b) been charged with any felony ? YES NO (2) Based upon activities that occurred while the individual exercised control over it, has an organization ever: (a) been convicted of any felony or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a felony? YES NO (b) been charged with any felony? YES NO Item 6B. (1) Has the individual ever: (a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any charge of a misdemeanor involving: municipal advisory activities or a municipal advisor-related or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses? YES NO (b) been charged with any misdemeanor of the kind described in 6B(1)(a)? YES NO (2) Based upon activities that occurred while the individual exercised control over it, has an organization ever: (a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a misdemeanor of the kind specified in 6B(1)(a)? YES NO (b) been charge

Signature and Self-Certification

Item 7 Signature and Self-Certification NOTE:  In addition to completing Item 7, to the extent that the individual is a non-resident , a Form MA-NR completed and signed by the individual must be attached as an exhibit to this Form MA-I. Complete Either Subpart A or Subpart B: By typing a name in the signature field, the signatory acknowledges and represents that the entry constitutes in every way, use, or aspect, his or her legally binding signature. A. For Municipal Advisory Firms filing this form: The municipal advisory firm has obtained and retained written consent from the individual that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1. I, the undersigned, sign this Form MA-I on behalf of, and with the authority of, the municipal advisory firm that is filing this form. The municipal advisory firm and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I as a free and voluntary act. Date: 03-23-2026 By (signature): Matthew Rothchild Title: CCO B. For Natural Person Municipal Advisors (Sole Proprietors) filing this form: The individual named below consents that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1. I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, includin

View Full Filing

View this MA-I/A filing on SEC EDGAR