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Gaylord Chase

Sunbelt Securities
23 Years of Experience
Houston, TX
Broker
View SEC Summary
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Gaylord Chase is a registered investment advisor at Sunbelt Securities, based in Houston, TX, with 23 years of industry experience. Gaylord is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 6,241 clients with $2.6B in assets under management.

Sunbelt Securities
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
63 advisors
Number of Clients
6,241 clients
Average Client Portfolio
$423K average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum fee is 2.50% of assets under management, charged monthly. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2700 Post Oak Blvd, Ste 1700, Houston, TX, 77056

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Gaylord is a registered representative with Hunters Creek Advisors LLC, doing business under Sunbelt Securities Inc. This activity is investment-related and takes nearly full-time hours during trading hours.

Employment History
Current Registrations
Sunbelt Securities, INC.Broker
August 2011 - Present · 15 yrs 2 mos
Sunbelt Securities
August 2011 - Present · 15 yrs 2 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - September 2011 · 2 yrs 3 mos
Morgan Stanley Smith BarneyBroker
June 2009 - September 2011 · 2 yrs 3 mos
Citigroup Global Markets INC.Broker
September 2006 - June 2009 · 2 yrs 9 mos
Citigroup Global Markets INC.
September 2006 - June 2009 · 2 yrs 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
February 2003 - October 2006 · 3 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2002 - October 2006 · 3 yrs 10 mos
State Registrations11 states
ALAZCACOFLLAMDNYOKSCTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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