DW
Dale C. White
SUNBELT SECURITIES
Lexington, KY 40504
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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.
The advisor shows no other business activity.
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)
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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
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
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