Michael E. Watts

SUNBELT SECURITIES

Houston, TX 77056

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CRD#: 1571364

Professional summary

Michael Edward Watts is a registered financial professional currently at SUNBELT SECURITIES, INC. located in Houston, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Edward Watts'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®

None

Experience

Current

December 12, 2007 - 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

February 12, 2004 - September 6, 2005

ADVENT SECURITIES, INC.

CRD#: 128281

RICHMOND, VA

Past

July 3, 1997 - December 4, 2003

SUNBELT SECURITIES, INC.

CRD#: 42180

HOUSTON, TX

Past

July 23, 1996 - September 25, 1996

BLOCK TRADING INC.

CRD#: 36666

HOUSTON, TX

Past

April 29, 1994 - January 22, 1999

TEXAS CAPITAL SECURITIES, INC.

CRD#: 25564

HOUSTON, TX

Past

April 22, 1993 - March 14, 1994

MURCHISON INVESTMENT BANKERS, INC.

CRD#: 20027

Past

April 1, 1991 - June 10, 1991

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Past

January 20, 1988 - April 4, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

July 25, 1987 - September 18, 1987

WESTCAP GOVERNMENT SECURITIES, INC.

CRD#: 19645

Past

October 23, 1986 - September 11, 1987

WESTCAP SECURITIES, L.P.

CRD#: 7301

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.

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

Texas
(3/3/2008)

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: 10/7/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/13/2013

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/1995

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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Michael E. Watts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Edward Watts's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVENT SECURITIES, INC.

SUNBELT SECURITIES, INC.

BLOCK TRADING INC.

TEXAS CAPITAL SECURITIES, INC.

MURCHISON INVESTMENT BANKERS, INC.

FORESTERS FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WESTCAP GOVERNMENT SECURITIES, INC.

WESTCAP SECURITIES, L.P.

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/1986

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1986

Series 53

Date: 11/13/2013

Series 24

Date: 6/7/1995

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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