SUNBELT SECURITIES, INC. of HOUSTON, TX is an SEC-registered investment adviser (CRD 42180). Regulatory assets under management: $2.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Miller Joseph | OFFICE MANAGER/COMPLIANCE | Juniper, FL |
| Thomas Francis Buckley | FINANCIAL OPERATIONS PRINCIPAL | — |
| David Anthony Smetek | PRESIDENT / SECRETARY | — |
| Patrick Joseph Smetek | CHIEF COMPLIANCE OFFICER; REGISTERED OPTIONS PRINICPAL | — |
| Raymond Joseph Miller | OFFICE MANAGER/COMPLIANCE | — |
| Dagny Wright Young | MUNICIPAL SECURITIES PRINCIPAL | — |
| YOUNG DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | — |
| BUCKLEY THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | — |
| SMETEK DAVID ANTHONY | PRESIDENT / SECRETARY | — |
| SMETEK PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER; REGISTERED OPTIONS PRINICPAL | — |
| GESIN LISA LEE | MUNICIPAL SECURITIES PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-09-19 | regulatory | KENTUCKY AGENT ACTING AS AN INVESTMENT ADVISOR REPRESENTATIVE ALTHOUGH NOT REGISTERED IN THAT CAPACITY. | Final | $16K |
| 2007-03-13 | regulatory | MSRB G-27 - FAILED TO ADOPT, MAINTAIN AND ENFORCE ANY WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH THE MUNICIPAL TRANSACTION REPORTING REQUIREMENTS OF MSRB RULE G-14 | Final | $5K |
| — | regulatory | — | — | — |