BC
Brock A. Carlin
SUNBELT SECURITIES
Jasper, TX 75951
Some features on this profile are disabled
CRD#: 5455808
BC
Professional summary
Brock Aaron Carlin, CFP®, who also goes by Brock Carlin, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Jasper, Texas.
Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brock has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brock Carlin
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) - RIA
Click below to view Brock Aaron Carlin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brock Aaron Carlin'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®
CFP®
Start date: 2011
Experience
Current
February 19, 2016 - Present
SUNBELT SECURITIES, INC.
Office #1: 835 South Wheeler St, Jasper, TX 75951Office #2: 2615 Calder Street Suite 1070-b, Beaumont, TX 77702RIA
BD
CRD#: 42180
Jasper, TX
Current
February 19, 2016 - Present
SUNBELT SECURITIES, INC.
Office #1: 835 South Wheeler St, Jasper, TX 75951Office #2: 2615 Calder Street Suite 1070-b, Beaumont, TX 77702RIA
BD
CRD#: 42180
Jasper, TX
Past
October 7, 2010 - March 7, 2016
MORGAN STANLEY
RIA
CRD#: 149777
BEAUMONT, TX
Past
October 7, 2010 - March 7, 2016
MORGAN STANLEY
BD
CRD#: 149777
BEAUMONT, TX
Past
January 16, 2008 - October 15, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BEAUMONT, TX
Past
January 1, 2008 - October 15, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BEAUMONT, TX
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.
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
