DW
Dale C. White
SUNBELT SECURITIES
Lexington, KY 40504
Some features on this profile are disabled
CRD#: 464901
DW
Professional summary
Dale Cordell White is a registered financial professional currently at SUNBELT SECURITIES, INC. located in Lexington, Kentucky.
Dale is registered as a RR (Registered Representative) and started their career in finance in 1972. Dale has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 15, PC, Series 5, Series 1, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) LexInvest Wealth Advisors (DBA): Investment related. 2365 Harrodsburg Rd, Ste B100, Lexington KY 40504. DBA under Sunbelt Securities, Inc. Registered Representative / Independent Contractor. DBA, Doing Business As. Start: 09/2019. Commissions through Sunbelt. 40 hours a week, during trading hours.
2) Investment Associates, LLC (OBA): Investment Related. 2365 Harrodsburg Rd, Ste B100, Lexington KY 40504. Office lease only. Member. No relationship. Start: 07/2019. Rent liability for 2 years. Zero hours.
2)I was named Executor in the Will of June V. Stevens, 838 Glendover Road, Lexington, KY. 40502, a client of the past 20 years who died on 2/16/18. I was appointed Executor by a Fayette County Court Judge on 6/28/18. Her American Funds personal account, valued at $212,145 was transferred to an Estate account at American Funds on 7/2/18, with Dale named Executor. On 8/2/18 all proceeds in this account, $215,249 were wired by American Funds to the Estate of June Stevens checking account at BB&T Bank in Lexington KY. Dale C. White, Executor, 1801 ST. Ives Circle, Lexington KY. 40502, my home address. I am in the process of making the bequest, by check, as directed by the Will and as Executor, I have not and will not be taking compensation of any kind for this responsibility. The only living beneficiaries other than certain charities are as follows and none are existing clients or never have been clients of Lexington Investment Company. They are all nieces of June Stevens:
Patricia Mitchell, 17621 17th Street 30A, Tustin, CA. 92780
Pam Herberger, 3610 Broadwater #712, Bozeman, MT. 59718
Katherine Vogel, 475 Stillwater Creek Drive, Bozeman, MT. 59718
Linda Nell, 7755 Running Fox Way, Parker, CO. 30134
I have not devoted any time to my Executor duties during securities trading hours. I have completed a file that includes all pertinent legal documents and account statements pertaining to duties as Executor which have been given to our Compliance Officer, Gregory L. Williamson. My oversight was not bringing my appointment as Executor to the attention of our Compliance Officer in March 2018, when I learned of my being named Executor in Mrs. Stevens Will.
Mrs. Stevens Tax Returns and the Estate Tax Return will be completed and filed by by Jennifer Tibbets, CPA, 525 Darby Creek Road Suite 34, Lexington KY. 40509.
CRS (Client Relationship Summary) - BD
Click below to view Dale Cordell White'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
September 9, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 2365 Harrodsburg Road, Suite B100, Lexington, KY 40504RIA
BD
CRD#: 42180
Lexington, KY
Past
June 4, 2020 - December 16, 2024
SUNBELT SECURITIES, INC.
RIA
CRD#: 42180
HOUSTON, TX
Past
September 20, 2019 - December 10, 2019
SUNBELT SECURITIES, INC.
RIA
CRD#: 42180
HOUSTON, TX
Past
March 9, 2011 - January 8, 2019
LEXINGTON INVESTMENT COMPANY, INC.
RIA
CRD#: 27393
LEXINGTON, KY
Past
November 19, 1990 - September 26, 2019
LEXINGTON INVESTMENT COMPANY, INC.
BD
CRD#: 27393
LEXINGTON, KY
Past
September 15, 1989 - January 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 8, 1974 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
January 1, 1972 - August 19, 1975
W. E. HUTTON & CO.
BD
CRD#: 861
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.
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
Alabama(6/21/2022)
RR
California(9/20/2019)
RR
Colorado(9/20/2019)
RR
District of Columbia(2/26/2020)
RR
Florida(9/20/2019)
RR
Georgia(9/20/2019)
RR
Indiana(11/22/2022)
RR
Kentucky(9/12/2019)
RR
Michigan(9/26/2019)
RR
Minnesota(9/26/2019)
RR
Missouri(9/26/2019)
RR
New Mexico(11/3/2025)
RR
New York(9/20/2019)
RR
North Carolina(9/26/2019)
RR
Ohio(9/26/2019)
RR
Oregon(12/17/2024)
RR
Tennessee(9/20/2019)
RR
Texas(9/20/2019)
RR
Vermont(11/17/2022)
RR
West Virginia(11/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 11/1/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 4/1/1982
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 5
Date: 1/14/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 12/16/1971
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/21/1984
General Securities Sales Supervisor Examination (Options Module & General Module)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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
SUNBELT SECURITIES, INC.
CRD#: 42180Lexington, KY 40504TRUST BUT VERIFY
Monitor Dale White
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
