LH
Louis L. Haggin
SUNBELT SECURITIES
Lexington, KY 40504
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CRD#: 1129265
LH
Professional summary
Louis Lee Haggin IV is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Lexington, Kentucky.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Louis has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) LexInvest Wealth Advisors (DBA): Investment related. 2365 Harrodsburg Rd, Ste B100, Lexington KY 40504. DBA under Sunbelt Securities, Inc. Registered Representative. DBA, Doing Business As. Start: 09/2019. Commissions through Sunbelt. 40 hours a week, during trading hours.
2) Investment Associates, LLC (OBA): Investment Related. 2365 Harrodsburg Rd, Ste B100, Lexington KY 40504. Office Leasing and maintaining office space and employing personnel for DBA LexInvest Wealth Advisors. Member. No relationship. Start: 07/2019. Rent liability for 2 years. 1 hours a week, during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Louis Lee Haggin IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis Lee Haggin IV'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
September 17, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 2365 Harrodsburg Road, Suite B100, Lexington, KY 40504RIA
BD
CRD#: 42180
Lexington, KY
Current
September 17, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 2365 Harrodsburg Road, Suite B100, Lexington, KY 40504RIA
BD
CRD#: 42180
Lexington, KY
Past
March 16, 2011 - January 8, 2019
LEXINGTON INVESTMENT COMPANY, INC.
RIA
CRD#: 27393
LEXINGTON, KY
Past
January 31, 1991 - September 26, 2019
LEXINGTON INVESTMENT COMPANY, INC.
BD
CRD#: 27393
LEXINGTON, KY
Past
June 22, 1983 - October 5, 1984
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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
Illinois(9/20/2019)
IAR
Kentucky(9/17/2019)
RR
Kentucky(9/26/2019)
RR
North Carolina(9/26/2019)
RR
South Carolina(9/20/2019)
RR
Tennessee(9/20/2019)
RR
Texas(9/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
SUNBELT SECURITIES, INC.
CRD#: 42180Lexington, KY 40504TRUST BUT VERIFY
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