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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

GAYLORD CHASE

Advisor at SUNBELT SECURITIES

Jasper, TX | BEAUMONT, TX | HOUSTON, TX

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Search this name across graphsid dfx:ria:772a174b-1d0e-e367-538a-d4a6b1a8723f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 6, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SUNBELT SECURITIES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 4, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 7
Exams: S66
First exam: Feb 4, 2003
First registration: Feb 6, 2003
Dual registered: yes, broker-dealer
Other names: "ROCKY" CHASE|GAYLORD CHASE
IAPD individual key: 4602497

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SUNBELT SECURITIES	Bd affiliated wealth	Aug 26, 2011	n/a	yes	HOUSTON, TX\|HOUSTON, TX\|BEAUMONT, TX\|Jasper, TX	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 22, 2011	no	BEAUMONT, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 29, 2006	Jun 1, 2009	no	BEAUMONT, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 6, 2003	Oct 4, 2006	no	BEAUMONT, TX\|BEAUMONT, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	SUNBELT SECURITIES	Sep 22, 2011	Aug 26, 2011	-27	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Oct 4, 2006	Sep 29, 2006	-5	Firm change	Other

Relationships

Registered with (4)

→ SUNBELT SECURITIESRegistered adviserregistration: current employment
Aug 26, 2011 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 22, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 29, 2006 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 6, 2003 to Oct 4, 2006factForm ADV

Dated events

No dated event names this entity yet.