TB
Thomas P. Brashear
SUNBELT SECURITIES
DALLAS, TX 75240
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CRD#: 1915838
TB
Professional summary
Thomas Preston Brashear, who also goes by Tom Brashear, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Dallas, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Brashear
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.
Preston Capital Management (DBA): Investment related. 13140 Coit Rd, Ste 107, Dallas, TX 75240. DBA under Sunbelt Securities Inc. Registered Representative. Start: 12/2010. 40 hours a week, during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Preston Brashear's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Preston Brashear'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
December 15, 2010 - Present
SUNBELT SECURITIES, INC.
Office #1: 13140 Coit Rd Ste 115, Dallas, TX 75240RIA
BD
CRD#: 42180
DALLAS, TX
Current
December 15, 2010 - Present
SUNBELT SECURITIES, INC.
Office #1: 13140 Coit Rd Ste 115, Dallas, TX 75240RIA
BD
CRD#: 42180
DALLAS, TX
Past
August 7, 2009 - January 27, 2011
EVOLVE INVESTMENT ADVISORS
RIA
CRD#: 131714
AUSTIN, TX
Past
December 8, 2006 - December 31, 2010
EVOLVE SECURITIES, INC.
RIA
CRD#: 127474
DALLAS, TX
Past
December 8, 2006 - December 31, 2010
EVOLVE SECURITIES, INC.
BD
CRD#: 127474
DALLAS, TX
Past
January 16, 1995 - December 12, 2006
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
DALLAS, TX
Past
January 16, 1995 - December 12, 2006
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
July 31, 1993 - January 31, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 24, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alaska(8/8/2024)
RR
Arkansas(6/27/2011)
RR
Colorado(11/5/2024)
RR
Georgia(5/16/2011)
RR
Illinois(8/17/2020)
RR
Kansas(1/5/2011)
RR
Michigan(6/2/2020)
RR
Mississippi(1/5/2011)
RR
New Mexico(1/5/2011)
IAR
New Mexico(10/20/2011)
RR
North Carolina(7/11/2023)
RR
Ohio(9/8/2016)
RR
Oklahoma(10/24/2022)
RR
Tennessee(9/3/2024)
RR
Texas(12/15/2010)
IAR
Texas(12/15/2010)
RR
Utah(12/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 42180Dallas, TX 75240TRUST BUT VERIFY
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