LP
Lawrence C. Paladino
SUNBELT SECURITIES
DALLAS, TX 75240
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CRD#: 1099788
LP
Professional summary
Lawrence Christopher Paladino, who also goes by Chris Paladino, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Dallas, Texas.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Lawrence has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Paladino
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.
PALADINO FARMS INC (OBA): NOT INVESTMENT RELATED. 74 MORRIS MOUNTAIN RD, CENTER RIDGE, AR 72027. FARMING. BOARD MEMBER. NO RELATIONSHIP. START: 09/01/2013. COMPENSATION: NONE. 1 TO 2 HOURS A WEEK, NONE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Christopher Paladino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Christopher Paladino'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
May 20, 2013 - Present
SUNBELT SECURITIES, INC.
Office #1: 13140 Coit Rd Ste 115, Dallas, TX 75240RIA
BD
CRD#: 42180
DALLAS, TX
Current
January 25, 2013 - Present
SUNBELT SECURITIES, INC.
Office #1: 13140 Coit Rd Ste 115, Dallas, TX 75240RIA
BD
CRD#: 42180
DALLAS, TX
Past
January 25, 2013 - February 6, 2013
SUNBELT SECURITIES, INC.
RIA
CRD#: 42180
DALLAS, TX
Past
June 22, 2012 - January 22, 2013
BFC PLANNING, INC.
RIA
CRD#: 119682
ALLEN, TX
Past
June 22, 2012 - January 22, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
DALLAS, TX
Past
July 21, 2009 - June 19, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
RIA
CRD#: 17606
DALLAS, TX
Past
February 18, 1997 - June 19, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
BD
CRD#: 17606
DALLAS, TX
Past
April 19, 1983 - February 26, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arkansas(6/21/2013)
RR
Kansas(2/2/2021)
RR
Oklahoma(1/4/2021)
RR
Texas(5/20/2013)
IAR
Texas(5/20/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
SUNBELT SECURITIES, INC.
CRD#: 42180Dallas, TX 75240TRUST BUT VERIFY
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