SUNBELT SECURITIES, INC.

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Sunbelt Securities is based out of Houston. Sunbelt Securities is a large advisory firm with 1767 clients and discretionary assets under management (AUM) of $419,724,049 (Form ADV from 2019-12-20). Their last reported 13F filing for Q4 2019 included $253,524,033 in managed 13F securities and a top 10 holdings concentration of 22.22%. Sunbelt Securities's largest holding is ExxonMobil Corp. (Standard Oil of New Jersey) with shares held of 755,102. Whalewisdom has at least 30 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $253.524 Million
  • Prior Market Value $891.71 Million
  • New Purchases1660 stocks
  • Additional Purchases269 stocks
  • Sold out of4 stocks
  • Reduced holdings in238 stocks
  • Top 10 Holdings % 22.22 %
  • Turnover % [1]:74.02%
  • Turnover Alt % [2]: 14.05 %
  • Time Held Top20:6.40 quarters
  • Time Held Top10:5.20 quarters
  • Time Held All:1.22 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-02-14

Performance for Q4 2019: 7.08%
Performance Last 4 Quarters: 20.4%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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View Last Form Adv Compilation Report on Record

SUNBELT SECURITIES
2700 POST OAK BLVD STE 1700
HOUSTON TX    77056
Country: United States

Business Phone: 713-965-9510
Fax: 713-965-9435
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: TX
Number of employees: 47
Other Business Activities: broker-dealer
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 1767
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.D (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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SUNBELT SECURITIES, INC.

ownership team - last updated 2019-12-20
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, THOMAS FRANCIS FINANCIAL OPERATIONS PRINCIPAL 01/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. FINANCIAL OPERATIONS PRINCIPAL direct 2002-01-01
SMETEK, DAVID ANTHONY PRESIDENT / SECRETARY 01/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. PRESIDENT / SECRETARY direct 2003-01-01
SMETEK, PATRICK JOSEPH REGISTERED OPTIONS PRINICPAL 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
SMETEK, PATRICK JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MILLER, RAYMOND JOSEPH OFFICE MANAGER/COMPLIANCE 09/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. OFFICE MANAGER/COMPLIANCE direct 2014-09-01
USF SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ADVISORS, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC VICE PRESIDENT, OPERATIONS direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
YOUNG, DAGNY WRIGHT MUNICIPAL SECURITIES PRINCIPAL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. MUNICIPAL SECURITIES PRINCIPAL direct 2016-04-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER, WFG INVESTMENTS, INC direct 2002-11-01
WFG ADVISORS, LP EXECUTIVE VICE PRESIDENT CLIENT SERVICES direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2011-12-01

SUNBELT SECURITIES, INC.

ownership team - last updated 2019-09-18
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, THOMAS FRANCIS FINANCIAL OPERATIONS PRINCIPAL 01/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. FINANCIAL OPERATIONS PRINCIPAL direct 2002-01-01
SMETEK, DAVID ANTHONY PRESIDENT / SECRETARY 01/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. PRESIDENT / SECRETARY direct 2003-01-01
SMETEK, PATRICK JOSEPH REGISTERED OPTIONS PRINICPAL 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
SMETEK, PATRICK JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MILLER, RAYMOND JOSEPH OFFICE MANAGER/COMPLIANCE 09/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. OFFICE MANAGER/COMPLIANCE direct 2014-09-01
USF SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ADVISORS, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC VICE PRESIDENT, OPERATIONS direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
YOUNG, DAGNY WRIGHT MUNICIPAL SECURITIES PRINCIPAL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. MUNICIPAL SECURITIES PRINCIPAL direct 2016-04-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER, WFG INVESTMENTS, INC direct 2002-11-01
WFG ADVISORS, LP EXECUTIVE VICE PRESIDENT CLIENT SERVICES direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2011-12-01

SUNBELT SECURITIES, INC.

ownership team - last updated 2019-04-23
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, THOMAS FRANCIS FINANCIAL OPERATIONS PRINCIPAL 01/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. FINANCIAL OPERATIONS PRINCIPAL direct 2002-01-01
SMETEK, DAVID ANTHONY PRESIDENT / SECRETARY 01/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. PRESIDENT / SECRETARY direct 2003-01-01
SMETEK, PATRICK JOSEPH REGISTERED OPTIONS PRINICPAL 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
SMETEK, PATRICK JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MILLER, RAYMOND JOSEPH OFFICE MANAGER/COMPLIANCE 09/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. OFFICE MANAGER/COMPLIANCE direct 2014-09-01
USF SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ADVISORS, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC VICE PRESIDENT, OPERATIONS direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
YOUNG, DAGNY WRIGHT MUNICIPAL SECURITIES PRINCIPAL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. MUNICIPAL SECURITIES PRINCIPAL direct 2016-04-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER, WFG INVESTMENTS, INC direct 2002-11-01
WFG ADVISORS, LP EXECUTIVE VICE PRESIDENT CLIENT SERVICES direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2011-12-01

SUNBELT SECURITIES, INC.

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, THOMAS FRANCIS FINANCIAL OPERATIONS PRINCIPAL 01/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. FINANCIAL OPERATIONS PRINCIPAL direct 2002-01-01
SMETEK, DAVID ANTHONY PRESIDENT / SECRETARY 01/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. PRESIDENT / SECRETARY direct 2003-01-01
SMETEK, PATRICK JOSEPH REGISTERED OPTIONS PRINICPAL 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
SMETEK, PATRICK JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MILLER, RAYMOND JOSEPH OFFICE MANAGER/COMPLIANCE 09/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. OFFICE MANAGER/COMPLIANCE direct 2014-09-01
USF SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ADVISORS, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC VICE PRESIDENT, OPERATIONS direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
YOUNG, DAGNY WRIGHT MUNICIPAL SECURITIES PRINCIPAL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. MUNICIPAL SECURITIES PRINCIPAL direct 2016-04-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER, WFG INVESTMENTS, INC direct 2002-11-01
WFG ADVISORS, LP EXECUTIVE VICE PRESIDENT CLIENT SERVICES direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2011-12-01

SUNBELT SECURITIES, INC.

ownership team - last updated 2018-12-11
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, THOMAS FRANCIS FINANCIAL OPERATIONS PRINCIPAL 01/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. FINANCIAL OPERATIONS PRINCIPAL direct 2002-01-01
SMETEK, DAVID ANTHONY PRESIDENT / SECRETARY 01/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. PRESIDENT / SECRETARY direct 2003-01-01
SMETEK, PATRICK JOSEPH REGISTERED OPTIONS PRINICPAL 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
SMETEK, PATRICK JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MILLER, RAYMOND JOSEPH OFFICE MANAGER/COMPLIANCE 09/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. OFFICE MANAGER/COMPLIANCE direct 2014-09-01
USF SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ADVISORS, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC VICE PRESIDENT, OPERATIONS direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
YOUNG, DAGNY WRIGHT MUNICIPAL SECURITIES PRINCIPAL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. MUNICIPAL SECURITIES PRINCIPAL direct 2016-04-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER, WFG INVESTMENTS, INC direct 2002-11-01
WFG ADVISORS, LP EXECUTIVE VICE PRESIDENT CLIENT SERVICES direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2011-12-01

SUNBELT SECURITIES, INC.

ownership team - last updated 2018-04-30
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, THOMAS FRANCIS FINANCIAL OPERATIONS PRINCIPAL 01/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. FINANCIAL OPERATIONS PRINCIPAL direct 2002-01-01
SMETEK, DAVID ANTHONY PRESIDENT / SECRETARY 01/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. PRESIDENT / SECRETARY direct 2003-01-01
SMETEK, PATRICK JOSEPH REGISTERED OPTIONS PRINICPAL 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
SMETEK, PATRICK JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. REGISTERED OPTIONS PRINICPAL direct 2004-01-01
SUNBELT SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MILLER, RAYMOND JOSEPH OFFICE MANAGER/COMPLIANCE 09/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. OFFICE MANAGER/COMPLIANCE direct 2014-09-01
USF SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ADVISORS, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC VICE PRESIDENT, OPERATIONS direct 2007-09-01
USF ALTERNATIVE SERVICES, LLC SENIOR VICE PRESIDENT, DIVISIONAL OFFICER direct 2007-09-01
YOUNG, DAGNY WRIGHT MUNICIPAL SECURITIES PRINCIPAL 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNBELT SECURITIES, INC. MUNICIPAL SECURITIES PRINCIPAL direct 2016-04-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER, WFG INVESTMENTS, INC direct 2002-11-01
WFG ADVISORS, LP EXECUTIVE VICE PRESIDENT CLIENT SERVICES direct 2002-11-01
WFG ADVISORS, LP CHIEF COMPLIANCE OFFICER direct 2011-12-01

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