SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Sunbelt Securities
Houston, TX
Sunbelt Securities, Inc., CRD 42180
Firm filing updated June 16, 2026 ·
- $2.6BAssets
- 6,241Clients
- 68Advisory staff
- 6,241Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals5,279
- High net worth individuals919
- Corporations or other businesses41
- Charities2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 5,279 | $2.1 billion |
| High net worth individuals | 919 | $481.1 million |
| Charitable organizations | 2 | $1.0 million |
| Corporations or other businesses not listed above | 41 | $47.9 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$2.6 billion
- Accounts6,241
- DiscretionaryAll accounts
People
- Employees68
- Advisory staff68
- Broker-dealer reps63
- Licensed insurance agents45
- Planning clients1 to 10
Advisors
27 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Sunbelt Securities, Inc. SEC-registered investment advisor. CRD 42180, SEC file 801-71479.
- Registered with the SEC as an investment advisor (status date on record: June 24, 2010).
Is Sunbelt Securities a fiduciary?
Short answer: Sunbelt Securities is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 63 staff are broker-dealer representatives, the firm is itself a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
45 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.