Kenneth E. Shade

SUNBELT SECURITIES

Garland, TX

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CRD#: 3259826

Professional summary

Kenneth Eugene Shade, who also goes by Ken Shade, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Garland, Texas.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kenneth has worked at 14 firms and has passed the Series 66, Series 99TO, Series 79TO, Series 82TO, SIE, Series 31, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Shade

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) BV Securities LLC (BD) BV Capital: Investment related. 8390 LBJ Freeway, Suite 570, Dallas, TX 75243. Contractor. Compliance/Principal. No relationship. Start: 01/2019. Compensation: monthly rate. 3 hours a week, during trading hours. 2) Sunbelt Securities, 2700 Post Oak Blvd. #1700 Houston, TX 77056, Started 3/15/17, Inv related, General Securities, Independent Contractor, Compliance Officer. 3) Reef Securities (B/D) : Investment Related. 1901 North Central Expressway, Richardson, TX 75080. Operations/Admin. No relationship. Start: 05/2021. 8 hours a week, during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Eugene Shade's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Eugene Shade'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

September 5, 2019 - Present

SUNBELT SECURITIES, INC.

RIA

CRD#: 42180

Garland, TX

Current

March 16, 2017 - Present

SUNBELT SECURITIES, INC.

Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056

RIA

CRD#: 42180

Houston, TX

Current

January 29, 2019 - Present

BV SECURITIES, LLC

Office #1: 8390 Lbj Freeway, Suite 565, Dallas, TX 75243

CRD#: 103800

Dallas, TX

Current

May 4, 2021 - Present

REEF SECURITIES, INC.

Office #1: 1901 N Central Expressway, Suite 310, Richardson, TX 75080-3558

CRD#: 31951

RICHARDSON, TX

Past

October 22, 2020 - June 30, 2023

CHAPWOOD SECURITIES, INC.

CRD#: 154376

Plano, TX

Past

January 13, 2017 - May 12, 2017

NOBLES & RICHARDS, INC.

CRD#: 146870

PLANO, TX

Past

November 18, 2013 - December 31, 2020

REEF SECURITIES, INC.

CRD#: 31951

RICHARDSON, TX

Past

February 14, 2013 - November 18, 2013

CHESTNUT FINANCIAL ADVISERS, INC.

RIA

CRD#: 166243

RICHARDSON, TX

Past

February 10, 2011 - November 14, 2013

SUNBELT SECURITIES, INC.

CRD#: 42180

DALLAS, TX

Past

January 14, 2011 - November 12, 2013

TEXAS E&P PARTNERS, INC.

CRD#: 127228

RICHARDSON, TX

Past

February 25, 2009 - March 30, 2010

GENERATIONAL CAPITAL MARKETS INC.

CRD#: 145869

DALLAS, TX

Past

February 1, 2008 - December 31, 2010

EVOLVE SECURITIES, INC.

CRD#: 127474

DALLAS, TX

Past

January 24, 2007 - December 31, 2007

AFS BROKERAGE, INC.

RIA

CRD#: 25924

AUSTIN, TX

Past

August 2, 2006 - January 1, 2007

AFS BROKERAGE, INC.

RIA

CRD#: 25924

AUSTIN, TX

Past

July 7, 2006 - May 21, 2008

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

Past

March 11, 2005 - July 10, 2006

AMERICAN LANDMARK SECURITIES, INC.

CRD#: 42187

IRVING, TX

Past

February 1, 2005 - March 7, 2005

MILKIE/FERGUSON INVESTMENTS, INC.

RIA

CRD#: 17606

DALLAS, TX

Past

October 19, 2004 - March 7, 2005

MILKIE/FERGUSON INVESTMENTS, INC.

CRD#: 17606

DALLAS, TX

Past

January 18, 2002 - September 16, 2004

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

DALLAS, TX

Past

June 26, 2000 - September 16, 2004

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

August 30, 1999 - July 19, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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.

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

Texas
(3/16/2017)

IAR

Texas
(9/5/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/28/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/28/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/27/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/18/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

SEC notice filing (39 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SUNBELT RD PROGRAM WRAP FEE BROCHURE (3/31/2025)

SUNBELT_ADV PART 2A_033125 (3/31/2025)

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

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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Advisor Monitoring

Firm Stability Insights

Kenneth E. Shade

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Eugene Shade's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Eugene Shade's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNBELT SECURITIES, INC.

BV SECURITIES, LLC

REEF SECURITIES, INC.

CHAPWOOD SECURITIES, INC.

NOBLES & RICHARDS, INC.

REEF SECURITIES, INC.

CHESTNUT FINANCIAL ADVISERS, INC.

SUNBELT SECURITIES, INC.

TEXAS E&P PARTNERS, INC.

GENERATIONAL CAPITAL MARKETS INC.

EVOLVE SECURITIES, INC.

AFS BROKERAGE, INC.

AFS BROKERAGE, INC.

AFS BROKERAGE, INC.

AMERICAN LANDMARK SECURITIES, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/1999

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 12/28/1999

Series 7

Date: 8/27/1999

Series 4

Date: 12/18/2000

Series 24

Date: 9/1/2000

FINRA

Current Firm

SUNBELT SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SUNBELT SECURITIES, INC.

TRUST BUT VERIFY

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