# SUNBELT SECURITIES, INC.

SUNBELT SECURITIES, INC. of HOUSTON, TX is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 42180
- Type: SEC-registered investment adviser
- SEC file number: 801-71479
- Location: 2700 POST OAK BLVD STE 1700, HOUSTON, TX, 77056
- Phone: 713-965-9510
- Latest filing: 2026-06-16
- Regulatory AUM: $2.6B
- Discretionary AUM: $2.6B
- Clients: 68
- Accounts: 6,241

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (11)

| 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 | — |


## Disclosures (12)

| 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 | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/42180/brochure
- Similar advisers: https://search.stillhousedata.com/firm/42180/similar
- Related entities: https://search.stillhousedata.com/firm/42180/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/42180

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.