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SUNBELT SECURITIES, INC., CRD 42180
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RAYMOND JOSEPH MILLER | Certified Financial Planner | Houston, TX | HOUSTON, TX | 17 | 39 | 6 | yes |
| Charles William Rawl | Certified Financial Planner|Chartered Financial Consultant | Houston, TX | HOUSTON, TX | 17 | 31 | 4 | yes |
| JOHN ELMER FLECKENSTEIN | n/a | HOUSTON, TX | Kerrville, TX | 17 | 38 | 3 | yes |
| KENNETH REAGAN BARRY | n/a | HOUSTON, TX | Lubbock, TX | 17 | 33 | 1 | yes |
| RICHARD CHADWICK WAITS | n/a | Houston, TX | HOUSTON, TX | 16 | 24 | 1 | yes |
| JACK EDWARD HIRSCHMAN | n/a | Houston, TX | HOUSTON, TX | 16 | 18 | 1 | yes |
| CHARLES WILLIAM BINGHAM | Certified Financial Planner | HOUSTON, TX | Lantana, TX | 16 | 21 | 1 | yes |
| KYLE LEE JUDD | n/a | HOUSTON, TX | Houston, TX | 16 | 19 | 1 | yes |
| JAMES HAROLD REDDISH | Certified Financial Planner | HOUSTON, TX | Houston, TX | 16 | 19 | 1 | yes |
| WILLIAM ROWNTREE HOWARD | n/a | Houston, TX | HOUSTON, TX | 16 | 17 | 1 | yes |
| Roy Alan Longoria | Certified Financial Planner | HOUSTON, TX | AUSTIN, TX | 16 | 24 | 1 | yes |
| THOMAS PRESTON BRASHEAR | n/a | HOUSTON, TX | DALLAS, TX | 15 | 37 | 3 | yes |
| KIRK AARON FREEDLE | Chartered Financial Consultant | HOUSTON, TX | Westminster, CO | 15 | 27 | 6 | yes |
| GAYLORD CHASE | n/a | Jasper, TX | BEAUMONT, TX | HOUSTON, TX | 15 | 23 | 3 | yes |
| BRADLEY FRANK LAKNER | n/a | HOUSTON, TX | Springfield, IL | 14 | 26 | 1 | yes |
| MATTHEW CHARLES KNAUSS | n/a | HOUSTON, TX | Houston, TX | 14 | 15 | n/a | yes |
| BELINDA GAIL AUCOIN | Certified Financial Planner | HOUSTON, TX | Dallas, TX | 14 | 38 | 2 | yes |
| KELLY BRIAN REAVIS | n/a | HOUSTON, TX | Dallas, TX | 14 | 29 | 2 | yes |
| Minor Dale Shores | Certified Financial Planner | Yoakum, TX | HOUSTON, TX | 14 | 42 | 2 | yes |
| SHELLEY CAMILLE MORRISON-PHELPS | n/a | HOUSTON, TX | Dallas, TX | 13 | 35 | 2 | yes |
| JOHN ERIC FLECKENSTEIN | n/a | Kerrville, TX | HOUSTON, TX | 13 | 14 | n/a | yes |
| CECIL BAILEY BYERS | n/a | HOUSTON, TX | BEAUMONT, TX | 10 | 38 | 3 | yes |
| DAGNY YOUNG | n/a | HOUSTON, TX | Celina, TX | 10 | 33 | 4 | yes |
| Brock Aaron Carlin | n/a | BEAUMONT, TX | HOUSTON, TX | Jasper, TX | 10 | 18 | 2 | yes |
| RYAN PATRICK MCDONNELL | Certified Financial Planner | HOUSTON, TX | Colleyville, TX | 9 | 17 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | B | yes | 01/2002 | Jun 16, 2026 | Jun 16, 2026 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | B | yes | 01/2003 | Jun 16, 2026 | Jun 16, 2026 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | B | yes | 01/2004 | Jun 16, 2026 | Jun 16, 2026 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | B | no | 09/2014 | Jun 16, 2026 | Jun 16, 2026 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | Na | no | 04/2016 | Jun 16, 2026 | Jun 16, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Lexington | Ky | United States | 7 | yes |
| Beaumont | TX | United States | 6 | yes |
| Dallas | TX | United States | 5 | yes |
| Dallas | TX | United States | 4 | yes |
| Austin | TX | United States | 3 | yes |
| Kerrville | TX | United States | 3 | yes |
| Southlake | TX | United States | 3 | yes |
| Aurora | Co | United States | 1 | yes |
| Springfield | IL | United States | 1 | yes |
| Dallas | TX | United States | 1 | yes |
| Dallas | TX | United States | 1 | yes |
| Jasper | TX | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 31, 2025 | $2.0B | $2.0B | 68 | 68 | 18 | n/a | n/a |
| 2023 | Apr 1, 2024 | $1.9B | $1.9B | 67 | 48 | 13 | n/a | n/a |
| 2022 | Apr 7, 2023 | $1.8B | $1.8B | 67 | 48 | 13 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.1B | $1.1B | 64 | 42 | 13 | n/a | n/a |
| 2020 | Mar 31, 2021 | $985M | $985M | 64 | 42 | 13 | n/a | n/a |
| 2019 | Mar 29, 2020 | $604M | $604M | 64 | 42 | 13 | n/a | n/a |
| 2018 | Mar 27, 2019 | $420M | $420M | 47 | 47 | 12 | n/a | n/a |
| 2017 | Mar 28, 2018 | $301M | $301M | 47 | 47 | 12 | n/a | n/a |
| 2016 | Mar 27, 2017 | $176M | $176M | 39 | 39 | n/a | n/a | n/a |
| 2015 | Mar 9, 2016 | $201M | $201M | 37 | 37 | n/a | n/a | n/a |
| 2014 | Mar 3, 2015 | $203M | $202M | 37 | 37 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $158M | $158M | 37 | 37 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $179M | $179M | 78 | 37 | n/a | n/a | n/a |
| 2011 | Mar 22, 2012 | $126M | $126M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 1.6% | 0 | 0 | 0 | 4 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $2.6B | $1.9B | 38.4% | $1.1B | 32.1% | 68 | 67 | 18 | 13 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LEXINGTON INVESTMENT COMPANY, INC. | 4 | Jan 8, 2019 | Sep 20, 2019 | LEXINGTON, KY | Firm absorbed | Other | 80.0% |
| WFG ADVISORS, LP | 3 | Aug 3, 2017 | Aug 10, 2017 | DALLAS, TX | Team lift out | Other | 4.8% |
| LPL FINANCIAL LLC | 3 | Nov 17, 2016 | Nov 1, 2016 | SOUTHLAKE, TX | Team lift out | Other | 0.0% |