ML
Michael Lewis
SUNBELT SECURITIES
Southlake, TX 76092
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CRD#: 5627656
ML
Professional summary
Michael Lewis is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Southlake, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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. TFG Investment Group (DBA): Investment related. 370 S Nolen Dr, Ste 100, Southlake, TX 76092. DBA under Sunbelt Securities Inc. Registered Representative. Start Date: 10/2016. 40 hours a week, during trading hours. 2. Thorn Financial Group (OBA): Not investment related. 370 S Nolen Dr, Ste 100, Southlake, TX 76092. Tax Planning. Tax Consultant. No relationship. Start date: 10/2008. 60 hours tax season / 40 off season a week, majority not during trading hours. 3. M&K Financial: Not investment related, 2308 Farrington Ln, Hurst, TX 76063; LLC for taxes. Member. Start Date: 3/14/2017. Zero hours per month, none during trading hours. 4. MRLIJL Financial LLC (OBA) : Not investment related. 370 S Nolen Dr, Ste 100, Southlake, TX 76092. LLC for taxes. Member. No relationship. Start: 12/14/2021. Less than an hour a week, none during trading hours. 5. Life Insurance (OBA): Investment related. 370 S Nolen Dr, Ste 100, Southlake, TX 76092. Life Insurance. Insurance Agent. No relationship. Start: 01/2012. Less than an hour a week, none during trading hours. 6. Rental Property (OBA): Not investment related. 7104 Cook Circle, North Richland Hills, TX 76182. Rental Property. Property Owner. No relationship. Start: 12/01/2023. Zero hours per week, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Lewis'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
October 25, 2016 - Present
SUNBELT SECURITIES, INC.
Office #1: 370 S Nolen Dr Ste 100, Southlake, TX 76092RIA
BD
CRD#: 42180
Southlake, TX
Current
October 25, 2016 - Present
SUNBELT SECURITIES, INC.
Office #1: 370 S Nolen Dr Ste 100, Southlake, TX 76092RIA
BD
CRD#: 42180
Southlake, TX
Past
June 26, 2012 - November 17, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOUTHLAKE, TX
Past
January 30, 2012 - November 17, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
SOUTHLAKE, 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
Arizona(9/21/2021)
IAR
Arizona(9/28/2021)
IAR
Colorado(2/11/2021)
RR
Florida(10/25/2016)
IAR
Florida(1/10/2020)
RR
Georgia(10/25/2016)
IAR
Georgia(5/16/2025)
IAR
Illinois(11/18/2022)
RR
Louisiana(10/25/2016)
IAR
Louisiana(10/25/2016)
IAR
Missouri(10/22/2024)
IAR
Montana(5/14/2024)
IAR
North Carolina(6/9/2023)
IAR
Ohio(1/6/2025)
RR
Oklahoma(10/25/2016)
IAR
Pennsylvania(11/2/2020)
RR
Texas(10/25/2016)
IAR
Texas(10/25/2016)
IAR
Virginia(10/22/2025)
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)
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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.
