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Current Employers
Sunbelt Securities, Inc.

2700 Post Oak Blvd Ste 1700, Houston, TX 77056 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2026-06-10
TX RA APPROVED 2021-10-05
  • GA RA
    APPROVED
    Since 2026-06-10
  • TX RA
    APPROVED
    Since 2021-10-05

Branch Locations

2700 Post Oak Blvd Ste 1700, Houston, TX 77056 • United States

2700 Post Oak Blvd Ste 1700, Houston, TX 77056 • UNITED STATES

Austin, TX • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hilltop Securities Independent Network Dallas TX 02/1999 06/2019
Sunbelt Securities, Inc. Houston TX 06/2019 07/2019
Sunbelt Securities Inc Houston TX 06/2021 Present
Unemployed Austin TX 07/2019 06/2021
Previous Registrations
Other Businesses

1) OA Capital (DBA): Investment related. 6800 Adeline Way, Austin, TX 78746. DBA under Sunbelt Securities, Inc. Registered Representative. Start: 07/2021. 40 hours a month, during trading hours. 2) DKO Investment Company LLC (OBA): Not investment related. 6800 Adeline Way, Austin, TX 78746. Investment holding company. Buy / hold investments. Owner. Start date 05/2014. Zero hours, none during trading hours. 3) OA Capital Pro (OBA): Investment related. 2700 Post Oak Blvd, Ste 1700, Houston, TX 77056. Financial services. Financial Advisor. OBA under OA Capital. No relationship. Start: 06/05/2026. 2 to 3 hours a week, during trading hours. Financial services for professional athletes.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-04-06
S65 Uniform Investment Adviser Law Examination 1998-03-18
  • S63 Uniform Securities Agent State Law Examination
    2022-04-06
  • S65 Uniform Investment Adviser Law Examination
    1998-03-18

View on SEC IAPD

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