TC
Thomas J. Chretien
SUNBELT SECURITIES
Houston, TX 77056
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CRD#: 2685676
TC
Professional summary
Thomas Joseph Chretien, who also goes by Tom Chretien, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Houston, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Chretien
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.
Broadway Cottage (OBA): Not investment related. 126 Broadway, York, ME 03909. Rental Property. Owner. No relationship. Start: 10/2/2024. 1 hour per week, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Chretien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Chretien'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 23, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Current
April 15, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Past
April 4, 2019 - April 4, 2019
SUNBELT SECURITIES, INC.
RIA
CRD#: 42180
HOUSTON, TX
Past
June 1, 2009 - March 19, 2019
MORGAN STANLEY
RIA
CRD#: 149777
HOUSTON, TX
Past
June 1, 2009 - March 19, 2019
MORGAN STANLEY
BD
CRD#: 149777
HOUSTON, TX
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
HOUSTON, TX
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HOUSTON, TX
Past
June 25, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HOUSTON, TX
Past
June 24, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
HOUSTON, TX
Past
March 17, 1997 - June 8, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
October 9, 1996 - February 27, 1997
FAB SECURITIES OF AMERICA, INC.
BD
CRD#: 28212
NEW YORK, NY
Past
November 30, 1995 - April 10, 1996
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, 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
IAR
Arizona(11/20/2019)
IAR
Arkansas(5/24/2019)
RR
California(7/2/2019)
IAR
Connecticut(7/18/2019)
RR
Indiana(11/20/2019)
RR
Louisiana(5/21/2019)
IAR
Louisiana(5/21/2019)
RR
Texas(5/16/2019)
IAR
Texas(5/16/2019)
IAR
Virginia(10/13/2023)
IAR
Washington(1/26/2022)
RR
Wyoming(4/23/2019)
IAR
Wyoming(4/23/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
