Anthony G. Saab

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CRD#: 408501

Professional summary

Anthony George Saab was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Anthony is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Anthony had worked at 17 firms, which includes SUNBELT SECURITIES INC., THE FIG GROUP LLC, WFG ADVISORS LP, WFG INVESTMENTS INC., ADM SECURITIES INC., MILKIE/FERGUSON INVESTMENTS INC., MANULIFE WOOD LOGAN INC., UBS FINANCIAL SERVICES INC., ROTAN MOSLE INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED, GATES CARTER LEVI INC., E. F. HUTTON & COMPANY INC, HOWARD WEIL LABOUISSE FRIEDRICHS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

A G Saab

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) The Fig Group LLC (DBA) Investment Related. 4060 Travis St, Unit 17, Dallas, TX 75204. DBA under Sunbelt Securities Inc. Registered Representative. Start: 09/2022. 40 hours a week, during trading hours. 2) Consulting Management Group LLC DBA CMG. Not investment related. 4060 Travis Dallas #17, Texas 75204. Owner. Tax purposes for business expenses. Formed on Feb 7,1997. Less than 2 hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 11, 2022 - December 31, 2024

SUNBELT SECURITIES, INC.

RIA

CRD#: 42180

Dallas, TX

Past

September 9, 2022 - December 31, 2024

SUNBELT SECURITIES, INC.

CRD#: 42180

Dallas, TX

Past

May 14, 2008 - November 1, 2022

THE FIG GROUP, LLC

RIA

CRD#: 133558

DALLAS, TX

Past

June 9, 2005 - November 1, 2022

THE FIG GROUP, LLC

CRD#: 133558

DALLAS, TX

Past

October 18, 2004 - December 7, 2005

WFG ADVISORS, LP

RIA

CRD#: 125073

DALLAS, TX

Past

February 20, 1997 - December 7, 2005

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

April 11, 1996 - December 20, 1996

ADM SECURITIES, INC.

CRD#: 31973

CHICAGO, IL

Past

June 2, 1995 - February 28, 1996

MILKIE/FERGUSON INVESTMENTS, INC.

CRD#: 17606

DALLAS, TX

Past

December 23, 1994 - May 12, 1995

MANULIFE WOOD LOGAN, INC.

CRD#: 19177

STAMFORD, CT

Past

January 1, 1991 - July 6, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 24, 1990 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

June 23, 1989 - September 28, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 15, 1988 - July 10, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 16, 1977 - May 24, 1978

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

July 13, 1972 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

Past

May 4, 1971 - April 21, 1972

GATES CARTER LEVI INC.

CRD#: 4019

Past

December 3, 1969 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

September 19, 1969 - January 17, 1971

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/30/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 12/3/1969

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 9/13/1969

Registered Representative Examination

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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Firm Stability Insights

Anthony G. Saab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUNBELT SECURITIES, INC.

THE FIG GROUP, LLC

THE FIG GROUP, LLC

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

ADM SECURITIES, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

MANULIFE WOOD LOGAN, INC.

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

GATES CARTER LEVI INC.

E. F. HUTTON & COMPANY INC

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1993

Series 63

Date: 12/14/1982

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 9/2/1977

Series 000

Date: 12/3/1969

Series 1

Date: 9/13/1969

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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