Doak R. Belt

NAMCOA

San Diego, CA 92123

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CRD#: 2975913

Professional summary

Doak Rauh Belt is a registered financial advisor currently at NAMCOA located in San Diego, California.

Doak is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Doak has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Doak Rauh Belt'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

April 23, 2021 - Present

NAMCOA

Office #1: 5095 Murphy Canyon Road Suite 200, San Diego, CA 92123

RIA

CRD#: 133978

San Diego, CA

Past

June 28, 2018 - April 12, 2021

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

RIA

CRD#: 144069

La Jolla, CA

Past

April 24, 2014 - June 1, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

LA JOLLA, CA

Past

October 1, 2010 - April 15, 2014

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

SAN DIEGO, CA

Past

April 15, 2002 - July 30, 2010

PARK AVENUE SECURITIES LLC

CRD#: 46173

SAN DIEGO, CA

Past

January 5, 2001 - April 8, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 29, 2000 - January 5, 2001

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

November 28, 1997 - December 6, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/23/2021)

IAR

Michigan
(1/21/2025)

IAR

Missouri
(1/21/2025)

IAR

New Mexico
(10/31/2025)

IAR

Oregon
(1/23/2025)

IAR

Texas
(1/18/2025)

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

IAR

Series 65

Date: 4/16/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/24/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

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Contact information

Main Address

107 Kilson Drive Suite 206, Mooresville, NC 28117

Mailing Address

999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

Phone number

(239) 593-5525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/20/2026)

ADV WRAP BROCHURE (2/20/2026)

Regulatory assets under management

Total Number of Accounts	249
AUM (Assets Under Management)	$ 361,784,079

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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Firm Stability Insights

Doak R. Belt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Doak Rauh Belt's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

MML INVESTORS SERVICES, LLC

THE O.N. EQUITY SALES COMPANY

PARK AVENUE SECURITIES LLC

NEW ENGLAND SECURITIES

CETERA ADVISORS LLC

WMA SECURITIES, INC.

Primary Firm SEC Registration

NAMCOA

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2018

Series 63

Date: 11/24/1997

SIE

Date: 6/1/2018

Series 6

Date: 11/24/1997

Current Firm

NAMCOA

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAMCOA

TRUST BUT VERIFY

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