Brock Aaron Carlin, CFP | Financial Professional | Jasper, Texas

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Contact Information

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Disclosures on record.

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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Credentials

CFP®

Certified Financial PlannerSince 2011

Years of Experience

19 years registered in the securities industry

Current & Past Employments

Current

SUNBELT SECURITIES, INC.Current·CRD# 42180

RIA

BD

1. 835 South Wheeler St, Jasper, TX 759512. 2615 Calder Street Suite 1070-b, Beaumont, TX 77702

February 19, 2016 - Present

SUNBELT SECURITIES, INC.Current·CRD# 42180

RIA

BD

1. 835 South Wheeler St, Jasper, TX 759512. 2615 Calder Street Suite 1070-b, Beaumont, TX 77702

February 19, 2016 - Present

Past

MORGAN STANLEYPast·CRD# 149777

RIA

Beaumont, TX

October 7, 2010 - March 7, 2016

MORGAN STANLEYPast·CRD# 149777

BD

Beaumont, TX

October 7, 2010 - March 7, 2016

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

RIA

Beaumont, TX

January 16, 2008 - October 15, 2010

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

BD

Beaumont, TX

January 1, 2008 - October 15, 2010

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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)

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).

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)

Registered to provide investment advisory services in 39 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 39 US 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 (6/16/2026)

SUNBELT_ADV PART 2A_033125 (6/16/2026)

Direct owners and executive officers

Name	Position	CRD#
BUCKLEY, THOMAS FRANCIS	FINANCIAL OPERATIONS PRINCIPAL	1563361
MILLER, RAYMOND JOSEPH	OFFICE MANAGER/COMPLIANCE	856248
RECKLING, THOMAS RADCLIFFE IV	SHARE HOLDER	1175420
SMETEK, DAVID ANTHONY	PRESIDENT / SECRETARY	1246996
SMETEK, PATRICK JOSEPH	CHIEF COMPLIANCE OFFICER	1052695
SMETEK, PATRICK JOSEPH	REGISTERED OPTIONS PRINICPAL	1052695
YOUNG, DAGNY WRIGHT	MUNICIPAL SECURITIES PRINCIPAL	2050615

Regulatory Assets Under Management

Total Number of Accounts

6,241

AUM (Assets Under Management)

$2,640,113,505

Disclosures

Regulatory Event

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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)

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/4/2024)

RR

Florida
(10/9/2024)

RR

Louisiana
(8/30/2024)

IAR

Louisiana
(9/3/2024)

RR

Maryland
(8/27/2024)

IAR

Maryland
(8/27/2024)

RR

New Mexico
(10/16/2020)

IAR

New Mexico
(10/16/2020)

RR

Tennessee
(8/30/2024)

RR

Texas
(2/19/2016)

IAR

Texas
(2/19/2016)

RR

Virginia
(7/21/2020)

IAR

Virginia
(1/4/2021)

RR

Wyoming
(1/3/2018)

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.