Brock Aaron Carlin

Sunbelt Securities

17 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

Sunbelt Securities

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

64 advisors

Number of Clients

5,355 clients

Average Client Portfolio

$378K average

Assets Under Management

$2.0B

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

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.

Employment History

Current Registrations

Sunbelt Securities

February 2016 - Present · 10 yrs

Sunbelt Securities, INC.Broker

February 2016 - Present · 10 yrs

Previous Registrations

Morgan Stanley

October 2010 - March 2016 · 5 yrs 5 mos

Morgan StanleyBroker

October 2010 - March 2016 · 5 yrs 5 mos

UBS Financial Services INC.

January 2008 - October 2010 · 2 yrs 9 mos

UBS Financial Services INC.Broker

January 2008 - October 2010 · 2 yrs 9 mos

State Registrations9 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.