Laurence G. Cummins

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CRD#: 58661

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Laurence George Cummins III, who also goes by Larry Cummins, Laurence George Cummins, was a registered financial professional .

Laurence is a previously registered financial professional and started their career in finance in 1970. Laurence had worked at 12 firms and has passed the Series 63, SIE, Series 3, PC, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Cummins | Laurence George Cummins

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 15, 2013 - August 3, 2015

SUNBELT SECURITIES, INC.

CRD#: 42180

DALLAS, TX

Past

June 19, 2012 - February 19, 2013

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

DALLAS, TX

Past

September 11, 1996 - June 19, 2012

MILKIE/FERGUSON INVESTMENTS, INC.

CRD#: 17606

DALLAS, TX

Past

July 31, 1993 - September 12, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 25, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 16, 1988 - October 17, 1989

ROTAN MOSLE INC.

CRD#: 727

Past

November 10, 1984 - February 27, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 12, 1984 - November 2, 1984

HILLTOP SECURITIES INC.

CRD#: 6220

Past

January 10, 1983 - September 14, 1984

INSTITUTIONAL EQUITY CORPORATION

CRD#: 4035

Past

August 5, 1980 - February 7, 1983

PERSHING LLC

CRD#: 7560

Past

November 27, 1978 - May 30, 1980

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 9, 1971 - December 4, 1974

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

April 9, 1970 - August 29, 1971

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 12/7/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/3/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/31/1994

National Commodity Futures Examination

General Industry/Product Exam

PC

Date: 8/18/1980

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 11/18/1978

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/11/1970

Registered Representative Examination

Current Firm

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)

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

SEC notice filing (39 States and Territories)

FINRA licenses (51 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 (3/31/2025)

SUNBELT_ADV PART 2A_033125 (3/31/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Laurence G. Cummins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

ROTAN MOSLE INC.

MORGAN STANLEY DW INC.

HILLTOP SECURITIES INC.

INSTITUTIONAL EQUITY CORPORATION

PERSHING LLC

MORGAN STANLEY DW INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/1979

SIE

Date: 8/3/2015

Series 3

Date: 8/31/1994

PC

Date: 8/18/1980

Series 7

Date: 11/18/1978

Series 1

Date: 3/11/1970

Current Firm

SUNBELT SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SUNBELT SECURITIES, INC.

TRUST BUT VERIFY

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