Michael H. Bartlett

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CRD#: 1526420

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.

Michael H Bartlett, who also goes by Mike H Bartlett, Mike Bartlett, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike H Bartlett | Mike Bartlett

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

June 13, 2012 - December 31, 2022

SUNBELT SECURITIES, INC.

CRD#: 42180

Dallas, TX

Past

October 12, 2010 - June 12, 2012

MILKIE/FERGUSON INVESTMENTS, INC.

CRD#: 17606

DALLAS, TX

Past

September 12, 2005 - April 19, 2010

LPL FINANCIAL LLC

CRD#: 6413

DALLAS, TX

Past

January 23, 2002 - July 29, 2005

COLONIAL BROKERAGE, INC.

CRD#: 111668

MONTGOMERY, AL

Past

January 20, 2000 - January 22, 2002

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

January 1, 1995 - September 21, 1999

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

June 28, 1993 - January 1, 1995

COMERICA FINANCIAL SERVICES, INC.

CRD#: 31794

Past

June 30, 1992 - September 9, 1992

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

March 9, 1992 - June 30, 1992

COMERICA BROKERS, INC.

CRD#: 17010

Past

October 26, 1990 - February 19, 1992

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 7, 1990 - October 26, 1990

MBANK CAPITAL MARKETS, INC.

CRD#: 22904

Past

January 30, 1987 - September 30, 1987

MPACT BROKERS INC.

CRD#: 13301

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

Series 63

Date: 9/18/1986

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: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/2/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/30/1989

General Securities 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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Advisor Monitoring

Firm Stability Insights

Michael H. Bartlett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MILKIE/FERGUSON INVESTMENTS, INC.

LPL FINANCIAL LLC

COLONIAL BROKERAGE, INC.

FISERV INVESTOR SERVICES, INC.

COMERICA SECURITIES

COMERICA FINANCIAL SERVICES, INC.

COMERICA SECURITIES

COMERICA BROKERS, INC.

BANC ONE SECURITIES CORPORATION

MBANK CAPITAL MARKETS, INC.

MPACT BROKERS INC.

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/1986

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1986

Series 53

Date: 1/2/2023

Series 24

Date: 10/30/1989

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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