Riccardo Signorelli

SUNBELT SECURITIES

Houston, TX 77056

Some features on this profile are disabled

CRD#: 6957294

Professional summary

Riccardo Signorelli is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Houston, Texas.

Riccardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Riccardo has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO, Series 7TO and SIE 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) THE WOODLANDS ANALYTICS LLC (OBA): Not investment related. 1950 Hughes Landing Blvd #805, Spring, TX 77380. Technology services. Managing member. No relationship. Start: 04/2018, 10 hours a week, none during trading hours. 2) THE WOODLANDS ANALYTICS MANAGEMENT SERVICES INC (OBA): Not investment related. 1950 Hughes Landing Blvd #805, Spring, TX 77380. Management & Administrative services. Director. No relationship. Start: 10/2021. 2 hours a week, none during trading hours. 3) RS ENERGIA LLC (OBA): Not investment related. 1950 Hughes Landing Blvd #805, Spring, TX 77380. Consulting services. President & Director. No relationship. Start: 12/2016. 1 hours a week, none during trading hours. 4) SIGNORELLI ENTERPRISES E (OBA): Not investment related. 1950 Hughes Landing Blvd #805, Spring, TX 77380. Director. No relationship. Start: 06/2018. Zero hours a week, none during trading hours. 5) SIGNORELLI ENTERPRISES LLC (OBA): Not investment related. 1950 Hughes Landing Blvd #805, Spring, TX 77380. Director. No relationship. Start: 6/2018, Zero hours a week, none during trading hours. 6) FERMI RSB 21 LLC (OBA): Not investment related. 1950 Hughes Landing Blvd #805, Spring TX 77380. Technology Investment. Managing Member. No relationship. Start: 11/2021. Zero hours per week, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riccardo Signorelli's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Riccardo Signorelli's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 3, 2018 - Present

SUNBELT SECURITIES, INC.

Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056

RIA

CRD#: 42180

Houston, TX

Current

April 2, 2019 - Present

SUNBELT SECURITIES, INC.

Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056

RIA

CRD#: 42180

Houston, TX

Past

June 6, 2018 - October 29, 2018

LAVACA CAPITAL, LLC

RIA

CRD#: 167238

HOUSTON, 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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alaska
(8/10/2021)

IAR

California
(2/25/2019)

California
(8/27/2019)

Colorado
(9/30/2019)

IAR

Colorado
(9/30/2019)

Delaware
(2/13/2024)

Florida
(3/20/2023)

Illinois
(4/4/2023)

Kansas
(6/21/2022)

Massachusetts
(3/4/2021)

IAR

Massachusetts
(8/8/2022)

IAR

New Jersey
(12/3/2018)

New Jersey
(1/9/2020)

IAR

Texas
(10/3/2018)

Texas
(4/15/2019)

Virgin Islands
(4/25/2023)

Virginia
(3/26/2025)

IAR

Virginia
(3/27/2025)

Wyoming
(7/27/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 4/15/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/12/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 10/28/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 4/2/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/6/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

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)

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

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Riccardo Signorelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Riccardo Signorelli's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Riccardo Signorelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNBELT SECURITIES, INC.

LAVACA CAPITAL, LLC

Primary Firm SEC Registration

SUNBELT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/2019

Series 65

Date: 4/12/2018

Series 79TO

Date: 10/28/2020

Series 7TO

Date: 4/2/2019

SIE

Date: 3/6/2019

FINRA

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

Similar Advisors