JF
John E. Fleckenstein
SUNBELT SECURITIES
Kerrville, TX 78028
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CRD#: 1790867
JF
Professional summary
John Elmer Fleckenstein is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Kerrville, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 8 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) KATY2.5 LLC (OBA): NOT INVESTMENT RELATED. 2700 Post Oak Blvd, Ste 1700, Houston, TX 77056. INVESTMENT IN LAND. NO POSITION. NO RELATIONSHIP. START: 09/2014. ZERO HOURS A WEEK, NONE DURING TRADING HOURS.
2) Crawshep LLC (OBA): Not investment related. 200 Fairway Dr, Kerrville, TX 78028. Real Estate. Joint owner with wife. no relationship. Start: 12/01/2016. purchase of property. zero hours per week, none during trading hours.
3) Maceygriffin LLC (OBA): Not investment related. 3511 Silverside Rd, Suite 105, Wilmington, DE 19810. Aircaft ownership. person aircraft. No relationship. Start: 4/29/2013. no compensation. zero hours per week, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Elmer Fleckenstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Elmer Fleckenstein'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
April 27, 2009 - Present
SUNBELT SECURITIES, INC.
Office #1: 200 Fairway Dr, Kerrville, TX 78028RIA
BD
CRD#: 42180
Kerrville, TX
Current
March 10, 2009 - Present
SUNBELT SECURITIES, INC.
Office #1: 200 Fairway Dr, Kerrville, TX 78028RIA
BD
CRD#: 42180
Kerrville, TX
Past
March 10, 2009 - March 19, 2009
SUNBELT SECURITIES, INC.
RIA
CRD#: 42180
HOUSTON, TX
Past
August 4, 2008 - March 6, 2009
USF ADVISORS, LLC
RIA
CRD#: 130569
HOUSTON, TX
Past
August 4, 2008 - March 6, 2009
USF SECURITIES, L.P.
BD
CRD#: 37942
KERRVILLE, TX
Past
June 10, 2004 - July 23, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
KERRVILLE, TX
Past
October 3, 2003 - July 23, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
KERRVILLE, TX
Past
March 2, 1998 - October 24, 2003
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SAN ANTONIO, TX
Past
March 2, 1998 - October 24, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
January 20, 1988 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
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
California(3/11/2009)
RR
Louisiana(3/10/2009)
IAR
New Mexico(11/29/2012)
RR
New Mexico(12/4/2012)
RR
New York(3/10/2009)
IAR
South Dakota(4/29/2024)
RR
South Dakota(5/8/2024)
RR
Texas(4/27/2009)
IAR
Texas(4/27/2009)
RR
Virginia(4/9/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/2/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
