Jeffrey D. Roys

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CRD#: 1092644

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jeffrey David Roys, who also goes by Jeff Roys, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff Roys

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 21, 2009 - November 17, 2020

SUNBELT SECURITIES, INC.

RIA

CRD#: 42180

HOUSTON, TX

Past

September 21, 2009 - November 17, 2020

SUNBELT SECURITIES, INC.

CRD#: 42180

HOUSTON, TX

Past

February 4, 2008 - October 6, 2009

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996

HOUSTON, TX

Past

August 27, 1999 - January 23, 2008

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

HOUSTON, TX

Past

August 27, 1999 - January 23, 2008

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

HOUSTON, TX

Past

December 7, 1985 - September 10, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 12, 1983 - November 5, 1985

BA INVESTMENT SERVICES, INC.

CRD#: 12965

Past

January 19, 1983 - December 28, 1983

FINANCIAL CLEARING & SERVICES CORPORATION

CRD#: 6633

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".

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)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/29/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/17/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/4/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/29/1983

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/16/1983

Registered Options Principal Examination

Current Firm

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)

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

SEC notice filing (39 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SUNBELT RD PROGRAM WRAP FEE BROCHURE (3/31/2025)

SUNBELT_ADV PART 2A_033125 (3/31/2025)

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

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.

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Firm Stability Insights

Jeffrey D. Roys

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUNBELT SECURITIES, INC.

HEROLD & LANTERN INVESTMENTS, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BA INVESTMENT SERVICES, INC.

FINANCIAL CLEARING & SERVICES CORPORATION

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2000

Series 63

Date: 2/17/1983

SIE

Date: 10/1/2018

Series 3

Date: 9/4/1985

Series 7

Date: 1/15/1983

Series 24

Date: 11/29/1983

Series 4

Date: 11/16/1983

Current Firm

SUNBELT SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SUNBELT SECURITIES, INC.

TRUST BUT VERIFY

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