SUNBELT SECURITIES, INC.

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.

Registration

Business model

Compensation: % of AUM, Fixed.

Clients served: Individuals, High net worth, Pooled vehicles, Charities.

Officers, owners & control persons (11)

NameRoleLocation
Miller JosephOFFICE MANAGER/COMPLIANCEJuniper, FL
Thomas Francis BuckleyFINANCIAL OPERATIONS PRINCIPAL—
David Anthony SmetekPRESIDENT / SECRETARY—
Patrick Joseph SmetekCHIEF COMPLIANCE OFFICER; REGISTERED OPTIONS PRINICPAL—
Raymond Joseph MillerOFFICE MANAGER/COMPLIANCE—
Dagny Wright YoungMUNICIPAL SECURITIES PRINCIPAL—
YOUNG DAGNY WRIGHTMUNICIPAL SECURITIES PRINCIPAL—
BUCKLEY THOMAS FRANCISFINANCIAL OPERATIONS PRINCIPAL—
SMETEK DAVID ANTHONYPRESIDENT / SECRETARY—
SMETEK PATRICK JOSEPHCHIEF COMPLIANCE OFFICER; REGISTERED OPTIONS PRINICPAL—
GESIN LISA LEEMUNICIPAL SECURITIES PRINCIPAL—

Disclosures (12)

InitiatedTypeAllegationsStatusAmount
2011-09-19regulatoryKENTUCKY AGENT ACTING AS AN INVESTMENT ADVISOR REPRESENTATIVE ALTHOUGH NOT REGISTERED IN THAT CAPACITY.Final$16K
2007-03-13regulatoryMSRB 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-14Final$5K
—regulatory———

Branch offices (18)

Showing 15 of 18 offices.

CityStateEmployeesPhone
LEXINGTONKY7859-479-3160
WESTMINSTERCO4303-755-1298
SOUTHLAKETX4817-993-0507
BEAUMONTTX4409-838-0308
AUSTINTX3512-297-2844
DALLASTX3214-310-0975
DALLASTX3972-387-2700
——22147669374
KERRVILLETX2210-202-1340
DALLASTX2214-774-0493
JASPERTX1409-384-3317
SPRINGFIELDIL1217-698-6469
——1409-553-9546
COLLEYVILLETX1214-393-4344
GARLANDTX12144030978

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