Cecil Bailey Byers
Professional Summary
Cecil Bailey Byers, who also goes by Cecil Byers, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Beaumont, Texas. Cecil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Cecil has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, PC and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cecil Byers
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
Years of Experience
51 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
Current Firm
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
Contact Information
Main Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056Mailing Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056Phone Number
(713) 965-9510Established
Texas since 10/20/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
68SEC notice filing (39 States and Territories)
Registered to provide investment advisory services in 39 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 39 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| RECKLING, THOMAS RADCLIFFE IV | SHARE HOLDER | 1175420 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory Assets Under Management
Total Number of Accounts
6,241AUM (Assets Under Management)
$2,640,113,505Disclosures
Regulatory Event
2Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
State Registrations and Notice Filings
(9/11/2015)
(8/28/2015)
(9/11/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed May 1984Series 5 — Interest Rate Options Examination
Passed Dec 1981PC — AMEX Put and Call Exam
Passed May 1977SRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Cecil Bailey Byers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cecil Bailey Byers's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEVENSUEDE INVESTMENT ADVISOR
SUMMIT PLACE FINANCIAL ADVISORS, LLC
