Sunbelt Securities, Inc.
- Regulatory AUM
- $2.6B
- Discretionary
- $2.6B
- Clients
- 6,241
- Avg AUM / client
- $423K
- Accounts
- 6,241
- Employees
- 68
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5,279 | $2.1B | 79.9% |
| High net worth individuals | 919 | $481M | 18.2% |
| Charitable organizations | 2 | $1.0M | 0.04% |
| Corporations and other businesses | 41 | $47.9M | 1.81% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Mrc Energy Company 401(k) Plan Mrc Energy Company | 2024 |
People (66)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Buckley, Thomas Francis | Financial Operations Principal | Jan 2002 (25y) | 25% – 50% | |
| Smetek, David Anthony | President / Secretary | Jan 2003 (24y) | 25% – 50% | |
| Smetek, Patrick Joseph | Registered Options Prinicpal | Jan 2004 (23y) | 25% – 50% | |
| Raymond Joseph Miller | Office Manager/Compliance | CFP | Feb 2009 (18y) | 10% – 25% |
| Dagny Young | Municipal Securities Principal | Feb 2016 (10y) | Less than 5% | |
| Charles William Rawl | Registered representative | CFP Chartered Financial Consultant | Mar 2009 (17y) | |
| John Elmer Fleckenstein | Registered representative | Apr 2009 (17y) | ||
| Kenneth Reagan Barry | Registered representative | May 2009 (17y) | ||
| Richard Chadwick Waits | Registered representative | Mar 2010 (16y) | ||
| Jack Edward Hirschman | Registered representative | Mar 2010 (16y) | ||
| Charles William Bingham | Registered representative | CFP | Apr 2010 (16y) | |
| Kyle Lee Judd | Registered representative | Apr 2010 (16y) | ||
| James Harold Reddish | Registered representative | CFP | Apr 2010 (16y) | |
| William Rowntree Howard | Registered representative | Jun 2010 (16y) | ||
| Roy Alan Longoria | Registered representative | CFP | Sep 2010 (16y) | |
| Thomas Preston Brashear | Registered representative | Dec 2010 (16y) | ||
| Kirk Aaron Freedle | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Gaylord Chase | Registered representative | Aug 2011 (15y) | ||
| Bradley Frank Lakner | Registered representative | Oct 2011 (15y) | ||
| Matthew Charles Knauss | Registered representative | Dec 2011 (15y) | ||
| Belinda Gail Aucoin | Registered representative | CFP | Jun 2012 (14y) | |
| Kelly Brian Reavis | Registered representative | Jul 2012 (14y) | ||
| Minor Dale Shores | Registered representative | CFP | Jul 2012 (14y) | |
| Shelley Camille Morrison Phelps | Registered representative | Sep 2012 (14y) | ||
| John Eric Fleckenstein | Registered representative | Jul 2013 (13y) | ||
| Cecil Bailey Byers | Registered representative | Oct 2015 (11y) | ||
| Brock Aaron Carlin | Registered representative | Feb 2016 (10y) | ||
| Michael Lewis | Registered representative | Oct 2016 (10y) | ||
| Ryan Patrick Mcdonnell | Registered representative | CFP | Oct 2016 (10y) | |
| Gregory Michael Thorn | Registered representative | CFP | Nov 2016 (10y) | |
| Elizabeth Ellen Chamberlain | Registered representative | Mar 2017 (9y) | ||
| Jonathan Neil Chamberlain | Registered representative | Mar 2017 (9y) | ||
| Mitchell Clayton Friedemann | Registered representative | CFP | Jun 2017 (9y) | |
| Charles Beaman Jimerson | Registered representative | Aug 2017 (9y) | ||
| Kerry Mark Rigdon | Registered representative | Aug 2017 (9y) | ||
| Marty Harari | Registered representative | Aug 2017 (9y) | ||
| Melvin Saul Jacobs | Registered representative | Feb 2018 (8y) | ||
| Irene M. Kelley | Registered representative | Jun 2018 (8y) | ||
| Riccardo Signorelli | Registered representative | Oct 2018 (8y) | ||
| James Michael Nakfoor | Registered representative | Dec 2018 (8y) | ||
| Richard Neil Chamberlain | Registered representative | CFP | Dec 2018 (8y) | |
| Christopher Dale Metscher | Registered representative | CFP | Feb 2019 (7y) | |
| Thomas Joseph Chretien | Registered representative | Apr 2019 (7y) | ||
| Kenneth Eugene Shade | Registered representative | Sep 2019 (7y) | ||
| Gregory Lane Williamson | Registered representative | Sep 2019 (7y) | ||
| Louis Lee Haggin | Registered representative | Sep 2019 (7y) | ||
| Ross Harrison Clements | Registered representative | Sep 2019 (7y) | ||
| Stanley Scott Kerrick | Registered representative | Sep 2019 (7y) | ||
| Phillip Lee Elliott | Registered representative | Sep 2019 (7y) | ||
| Hailey A Thorn | Registered representative | Nov 2019 (7y) | ||
| James Michael Walker | Registered representative | Oct 2020 (6y) | ||
| Heinrich Grobler | Registered representative | Jul 2021 (5y) | ||
| David Walter Osborne | Registered representative | Oct 2021 (5y) | ||
| Lagen Heath Mc Lachlan | Registered representative | Mar 2022 (4y) | ||
| Robert Andrew Dishman | Registered representative | Mar 2023 (3y) | ||
| Collin David Metscher | Registered representative | Aug 2023 (3y) | ||
| Stephen Wymer Mcbride | Registered representative | Aug 2023 (3y) | ||
| Patrick Michael Buckley | Registered representative | Mar 2024 (2y) | ||
| Chad Lindbergh Mabry | Registered representative | Aug 2024 (2y) | ||
| Alden Isabelle Dichoso | Registered representative | Sep 2024 (2y) | ||
| Robert Allen Boswell | Registered representative | CFP | Feb 2025 (2y) | |
| Zachary Charles Rawl | Registered representative | Mar 2025 (1y) | ||
| Harrison Spencer Hamilton | Registered representative | CFP | Jun 2025 (1y) | |
| Leo Vinson Reichle | Registered representative | Jul 2025 (1y) | ||
| Addison Shea Freedle | Registered representative | Nov 2025 (1y) | ||
| Jon Douglas Hur | Registered representative | Dec 2025 (1y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Mrc Energy Company 401(k) Plan | Mrc Energy Company | 450 | $92.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/16/2026 | 1.47 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: KENTUCKY AGENT ACTING AS AN INVESTMENT ADVISOR REPRESENTATIVE ALTHOUGH NOT REGISTERED IN THAT CAPACITY. Status: Final Sanction Detail: FINE WAS PAID AND RECEIVED IN NOVEMBER 2011. Summary: FINE PAID 11/2011.
Allegations: 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 Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, SUNBELT SECURITIES, INC., CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE, FINED $5,000.00
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $301M (11% of AUM) Jun 2026
- Fidelity Brokerage Services $222M (8% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 16, 2026.
View current Form ADV (SEC/IAPD) ↗