RC
Richard N. Chamberlain
SUNBELT SECURITIES
Jasper, TX 75951
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CRD#: 3121440
RC
Professional summary
Richard Neil Chamberlain, CFP®, who also goes by Neil Chamberlain, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Jasper, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Neil Chamberlain
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) CHAMBERLAIN FINANCIAL SERVICES (DBA).811 N MAIN, JASPER, TX 75951. DBA UNDER SUNBELT SECURITIES. INVESTMENT RELATED. REGISTERED REPRESENTATIVE. "DOING BUSINESS AS" (DBA). START: 11/2011. COMMISSIONS UNDER SUNBELT SECURITIES. 40 HOURS A WEEK, DURING TRADING HOURS. 2)JASPER HIGHER EDUCATION FOUNDATION (OBA). PO BOX 2067, JASPER, TX 75951. NOT INVESTMENT RELATED. TREASURER ON BOARD. NO RELATIONSHIP. START: 2002. LESS THAN 1 HOUR A MONTH. NON PROFIT ORGANIZATION 3) RICHARD NEIL CHAMBERLAIN, CPA (OBA). 811 N MAIN, JASPER, TX 75951. PUBLIC ACCOUNTING PRACTICE. NOT INVESTMENT RELATED. CPA, SELF EMPLOYED. NO RELATIONSHIP. START: 1993. COMPENSATION IN FEES. 40 HOURS A WEEK. 4) Insurance Agent (OBA): Not investment related. 811 N Main St, Jasper, TX 75951. Insurance Agent. Life Insurance Policies. Related. Start: 11/17/2011 . Less than 1 hour a week, during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Neil Chamberlain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Neil Chamberlain'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®
CFP®
Start date: 2018
Experience
Current
December 17, 2018 - Present
SUNBELT SECURITIES, INC.
Office #1: 811 N Main Street, Jasper, TX 75951RIA
BD
CRD#: 42180
Jasper, TX
Current
November 17, 2011 - Present
SUNBELT SECURITIES, INC.
Office #1: 811 N Main Street, Jasper, TX 75951RIA
BD
CRD#: 42180
Jasper, TX
Past
January 27, 1999 - November 28, 2011
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
JASPER, TX
Past
October 27, 1998 - November 28, 2011
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
JASPER, 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
Louisiana(11/17/2011)
IAR
Louisiana(12/20/2018)
IAR
Missouri(12/13/2023)
IAR
New York(5/13/2022)
IAR
Oklahoma(11/12/2020)
RR
Oklahoma(7/31/2022)
RR
Pennsylvania(5/21/2020)
RR
Texas(11/17/2011)
IAR
Texas(12/17/2018)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SUNBELT SECURITIES, INC.
CRD#: 42180Jasper, TX 75951TRUST BUT VERIFY
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