SK
Stanley S. Kerrick
SUNBELT SECURITIES
Lexington, KY 40504
Some features on this profile are disabled
CRD#: 800441
SK
Professional summary
Stanley Scott Kerrick, who also goes by Stan Kerrick, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Lexington, Kentucky.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Stanley has worked at 7 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 15, Series 5, Series 7, Series 27, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stan Kerrick
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.
Lexington Investments LLC (DBA): Investment related. 2365 Harrodsburg Rd, Ste B120, Lexington KY 40504. DBA under Sunbelt Securities, Inc. Registered Representative. DBA, Doing Business As. Start: LLC 07/2019, DBA 09/2019. Commissions through Sunbelt. 40 hours a week, during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Stanley Scott Kerrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stanley Scott Kerrick'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
September 17, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 2365 Harrodsburg Road, Suite B100, Lexington, KY 40504RIA
BD
CRD#: 42180
Lexington, KY
Current
September 17, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 2365 Harrodsburg Road, Suite B100, Lexington, KY 40504RIA
BD
CRD#: 42180
Lexington, KY
Past
January 26, 2006 - January 8, 2019
LEXINGTON INVESTMENT COMPANY, INC.
RIA
CRD#: 27393
LEXINGTON, KY
Past
November 19, 1990 - December 16, 2019
LEXINGTON INVESTMENT COMPANY, INC.
BD
CRD#: 27393
LEXINGTON, KY
Past
September 15, 1989 - January 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 6, 1977 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
August 27, 1976 - July 20, 1977
BACHE HALSEY STUART INC.
BD
CRD#: 7238
Past
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
BD
CRD#: 7058
Past
October 23, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
BD
CRD#: 66
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
California(6/9/2020)
RR
Florida(9/27/2019)
RR
Georgia(9/27/2019)
RR
Illinois(9/27/2019)
RR
Indiana(9/27/2019)
IAR
Kentucky(9/17/2019)
RR
Kentucky(9/26/2019)
RR
Minnesota(9/27/2019)
RR
North Carolina(10/23/2019)
RR
Pennsylvania(9/27/2019)
RR
South Carolina(1/30/2023)
RR
Texas(9/27/2019)
RR
Virginia(10/23/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/30/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 15
Date: 2/16/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 1/14/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 7/17/1980
NYSE Branch Manager ExaminationSRO 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.
Company Information
SUNBELT SECURITIES, INC.
CRD#: 42180Lexington, KY 40504TRUST BUT VERIFY
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