Minor D. Shores

SUNBELT SECURITIES

Yoakum, TX

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CRD#: 1346068

Professional summary

Minor Dale Shores Jr, CFP®, who also goes by Dale Shores, M Dale Shores, Minor Dale Shores, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Yoakum, Texas.

Minor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Minor has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 39, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dale Shores | M Dale Shores | Minor Dale Shores

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) SHORES WEALTH MANAGEMENT, INC. (DBA) INVESTMENT RELATED. 18416 US Hwy 77 South, Yoakum, TX 77995. REGISTERED REPRESENTATIVE AND INSURANCE SALES. INSURANCE AGENT. DBA UNDER SUNBELT SECURITIES, INC. START: 2/23/2007 START OF DBA WITH SUNBELT: 07/2012. COMMISSION. 40 HOURS A WEEK, ALL DURING TRADING HOURS. 2) SHORES LONGORIA RETIREMENT PLAN CONSULTANTS. (DBA) INVESTMENT RELATED. 8133 MESA DR, STE 100, AUSTIN, TX 78759. LIFE, HEALTH AND ACCIDENT INSURANCE SALES. INSURANCE AGENT AND REGISTERED REPRESENTATIVE. START: 07/2013. COMMISSION AND FEES THROUGH SUNBELT SECURITIES. 6 HOURS A WEEK. SOME DURING TRADING HOURS. THIS IS A DBA UNDER SUNBELT SECURITIES, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Minor Dale Shores Jr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Minor Dale Shores Jr's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

July 16, 2012 - Present

SUNBELT SECURITIES, INC.

RIA

CRD#: 42180

Yoakum, TX

Current

July 16, 2012 - Present

SUNBELT SECURITIES, INC.

Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056

RIA

CRD#: 42180

Houston, TX

Past

October 18, 2006 - August 3, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

AUSTIN, TX

Past

October 18, 2006 - August 3, 2012

LPL FINANCIAL LLC

CRD#: 6413

AUSTIN, TX

Past

February 3, 2005 - October 20, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

AUSTIN, TX

Past

March 22, 2002 - October 20, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

AUSTIN, TX

Past

March 12, 1999 - March 22, 2002

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

August 29, 1996 - May 19, 1999

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

February 2, 1995 - September 17, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

January 22, 1992 - March 25, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

September 16, 1991 - January 24, 1992

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

June 18, 1989 - September 12, 1991

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 5, 1989 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

February 2, 1989 - March 20, 1989

SOUTHWEST DIVERSIFIED INVESTMENT CORP.

CRD#: 23090

Past

September 21, 1987 - December 14, 1988

NEW ENGLAND SECURITIES

CRD#: 615

Past

May 29, 1987 - August 20, 1987

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

Past

September 12, 1985 - March 7, 1986

BROOK INVESTMENTS, INC.

CRD#: 7876

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(1/13/2023)

IAR

Illinois
(1/13/2023)

Kansas
(6/18/2019)

South Carolina
(1/13/2023)

IAR

South Carolina
(1/13/2023)

Texas
(7/16/2012)

IAR

Texas
(7/16/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 1/2/2023

Direct Participation Programs Principal Examination

Principal/Supervisory Exam

Series 51

Date: 7/29/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/1988

General Securities Principal Examination

SRO Registrations

FINRA

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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Minor D. Shores

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Minor Dale Shores Jr's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Minor Dale Shores Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNBELT SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

WS GRIFFITH SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

WOODBURY FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

SOUTHWEST DIVERSIFIED INVESTMENT CORP.

NEW ENGLAND SECURITIES

WOODBURY FINANCIAL SERVICES, INC.

BROOK INVESTMENTS, INC.

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/1/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

Series 39

Date: 1/2/2023

Series 51

Date: 7/29/2003

Series 24

Date: 9/2/1988

FINRA

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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