Don F. Elsenbrock
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.
Don Frederick Elsenbrock, who also goes by Don F Elsenbrock, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1991. Don had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 3, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2012 - July 10, 2015
SUNBELT SECURITIES, INC.
December 11, 2012 - July 10, 2015
SUNBELT SECURITIES, INC.
December 24, 2009 - December 13, 2010
SUNBELT SECURITIES, INC.
December 24, 2009 - December 13, 2010
SUNBELT SECURITIES, INC.
October 20, 2005 - January 9, 2008
STANFORD GROUP COMPANY
October 18, 2005 - January 9, 2008
STANFORD GROUP COMPANY
August 7, 2002 - October 16, 2003
FORESIDE FUNDS DISTRIBUTORS LLC
August 9, 2001 - September 7, 2001
B. RILEY WEALTH MANAGEMENT
May 15, 2001 - August 13, 2001
STANFORD GROUP COMPANY
August 25, 1999 - June 12, 2001
NELSONREID, INC.
February 17, 1999 - April 5, 1999
FIRST SOUTHWEST COMPANY, LLC
December 20, 1991 - June 26, 1992
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
SUNBELT SECURITIES, INC.
CRD#: 42180 / SEC#: 801-71479, 8-49748
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
SUNBELT SECURITIES, INC.
CRD#: 42180 / SEC#: 801-71479, 8-49748
Contact information
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.
