PS
Patrick J. Smetek
SUNBELT SECURITIES
Houston, TX 77056
Some features on this profile are disabled
CRD#: 1052695
PS
Professional summary
Patrick Joseph Smetek, who also goes by Pat Smetek, Patrick J Smetek, is a registered financial professional currently at SUNBELT SECURITIES, INC. located in Houston, Texas.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1982. Patrick has worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pat Smetek | Patrick J Smetek
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Patrick Joseph Smetek's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 22, 1999 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Past
September 1, 1994 - November 21, 1994
BLOCK TRADING INC.
BD
CRD#: 36666
HOUSTON, TX
Past
December 22, 1989 - July 16, 1998
TEXAS CAPITAL SECURITIES, INC.
BD
CRD#: 25564
HOUSTON, TX
Past
November 16, 1987 - December 9, 1987
SCHAEFER SECURITIES, INC.
BD
CRD#: 18046
Past
May 16, 1984 - October 1, 1987
TRADESTAR INVESTMENTS,INC.
BD
CRD#: 14565
Past
December 21, 1983 - May 21, 1993
SMETEK, VAN HORN AND CORMACK, INC.
BD
CRD#: 10698
HOUSTON, TX
Past
March 22, 1983 - June 1, 1984
CAPITAL QUEST SECURITIES, INC.
BD
CRD#: 10786
Past
July 22, 1982 - March 2, 1983
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/13/2009)
RR
Arkansas(8/8/2008)
RR
California(12/14/2005)
RR
Colorado(12/14/2005)
RR
Delaware(3/2/2011)
RR
Illinois(3/30/2005)
RR
Kansas(11/1/2008)
RR
Louisiana(8/12/2008)
RR
Maryland(6/22/2006)
RR
Massachusetts(4/28/2009)
RR
Michigan(8/13/2008)
RR
Minnesota(4/28/2009)
RR
Mississippi(8/8/2008)
RR
Nevada(8/14/2008)
RR
New Jersey(8/12/2008)
RR
New Mexico(8/7/2008)
RR
New York(1/3/2006)
RR
North Carolina(4/30/2009)
RR
Ohio(4/29/2005)
RR
Oklahoma(8/12/2008)
RR
Oregon(8/22/2008)
RR
Pennsylvania(3/30/2005)
RR
South Carolina(2/15/2011)
RR
South Dakota(2/3/2011)
RR
Texas(1/25/1999)
RR
Utah(2/2/2011)
RR
Virginia(4/28/2009)
RR
Washington(8/8/2008)
RR
Wyoming(4/30/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Mailing Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Phone number
(713) 965-9510
Established
Texas since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
