For each of our clients, we strive to help create financial stability and security with the end goal of financial independence. Not only will you find our financial advisors knowledgeable, but you will also discover that our staff truly cares about making your financial goals a reality.
As your financial advisor, we will do everything in our power to keep you focused on where you want to go, advise you on how to get there, and continually remind you of the importance of maintaining a disciplined approach to reach your goals.
Sunbelt Securities, Inc. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
CONTACTING US – If after a significant business disruption you cannot contact us as you usually do at 713-965-9510, you should call our alternative number 713-253-4700 (Patrick Smetek) or 713-819-1439 (David Smetek) or go to our website at www.sunbeltsecurities.com. If you cannot access us through either of those means, you should contact Ray Miller at 713-614-7777 or contact your Registered Representative directly.
OUR BUSINESS CONTINUITY PLAN – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, NFS, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within the same business day. Your orders and requests for funds and securities could be delayed during this period.
VARYING DISRUPTIONS – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within the same business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 2-3 business days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.sunbeltsecurities.com or customer emergency number, 713- 253-4700 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, you may contact the NFS Customer Service Line at 800-801-9942 which will assure our customer’s prompt access to their funds and securities. (Please note that the representatives at this number will only be able to assist you with your account in the event that our firm goes out of business entirely. If this is not the case and we are simply experiencing a temporary business disruption, you should follow the alternate routes of contact previously mentioned.)
FOR MORE INFORMATION – If you have questions about our business continuity planning, you can contact us at 713-965-9510.
This notice describes the privacy policy of Sunbelt Securities, Inc., a broker-dealer and Registered Investment Adviser. We are required, by federal law, to provide you with this notice, which outlines our business practices to protect your privacy as well as how we collect and share personal information about you. This policy applies to both current and former clients.
We Respect Your Privacy Sunbelt Securities, Inc. (“SUNBELT”) is committed to protecting your privacy. SUNBELT relies on access to your personal financial information in order to provide you with relevant information regarding the products and services we offer as well as provide you with appropriate investment recommendations. We appreciate and understand that the personal financial information you have entrusted to us is sensitive and confidential and we have adopted policies and procedures which assist us in safeguarding the information you provide to us.
Personal information we collect about you SUNBELT collects confidential client information from you in a number of ways including information provided on our new account applications and other forms we receive from you, consumer reporting agencies, information obtained through our website, as well as information obtained from other sources.
For example:
How we share your personal information
SUNBELT is registered as a broker/dealer and as an investment adviser with the U.S. Securities and Exchange Commission (“SEC”). SUNBELT is a member of the Financial Industry Regulatory Authority (“FINRA”), the Municipal Securities Rulemaking Board (“MSRB”) and the Securities Investor Protection Corporation (“SIPC”). SUNBELT has no affiliated companies.
SUNBELT does not share confidential information about our clients with unaffiliated third parties unless such disclosure is necessary to manage and service your account. For example, we provide access to information about you to unaffiliated third parties in certain limited circumstances, including:
SUNBELT recognizes that your relationship with your Financial Professional is important. If your Financial Professional ends his affiliation with us, and (s)he joins another broker-dealer with which we have entered into an agreement limiting the use of information, we will permit your Financial Advisor to retain certain contact information limited to your name, address, telephone number, email address and account title.
How we protect your confidential personal information about you
We have internal policies and procedures which govern the handling of client information by employees. Third parties which provide account service and support on our behalf may also receive personal information about you, and we require them to adhere to appropriate security standards with respect to such information. Under no circumstances will SUNBELT sell confidential client information to anyone, for any reason, at any time.
Contact Us with Questions
If you have any questions or concerns, or if you identify any information that you believe is no longer accurate, you may contact your SUNBELT Registered Representative or write to SUNBELT, Attn: Compliance Department, 2700 Post Oak Blvd, Suite 1700, Houston, TX 77056.
SIPC Notice
Accounts that are carried by National Financial Services, LLC (“NFS”), member of NYSE/FINRA/SIPC, are covered by the Securities Investor Protection Corporation (“SIPC”). SIPC coverage is not the same as FDIC insurance. In the event of a Sunbelt’s failure, SIPC protects its members’ securities customers up to $500,000 (including $100,000 for claims for cash). You may obtain an explanatory brochure by contacting SIPC at (202) 371-8300, visiting SIPC’s website at www.sipc.org or by asking your Registered Representative. Each customer account carried by NFS also receives excess SIPC protection. Neither SIPC coverage nor excess SIPC coverage applies to market losses.
Thank you for your business and allowing us to service your needs.