JN
James M. Nakfoor
SUNBELT SECURITIES
Houston, TX 77056
Some features on this profile are disabled
CRD#: 2205978
JN
Professional summary
James Michael Nakfoor, who also goes by Jimmy Nakfoor, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Houston, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jimmy Nakfoor
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Palm Street Capital LP (OBA): Not investment related. 432 Hunterwood Dr, Houston, TX 77024. Entity used to pay taxes. No relationship. Start: 09/2021. Less than 1 hour per month, none during trading hours. 2) Empire Capital LLC (OBA): Not investment related. 423 Hunterwood Dr, Houston, TX 77024. General Partner for Palm Street Capital. No relationship. Start: 06/2003. Zero hours a month, none during trading hours. No investments. 3) Grey Sky Holdings Inc (OBA): Not investment related. 423 Hunterwood Dr, Houston, TX 77024. General Partner for JMN Partners. No relationship. Start: 08/2003. Zero hours a month, none during trading hours. No investments. 4) JMN Partners LP (OBA): Investment related. 423 Hunterwood Dr, Houston, TX 77024. Family Investments. Sole Member. No relationship. Start: 08/2003. Zero hour a month, none during trading hours. 5) LFG Capital LLC (OBA) Investment related. 423 Hunterwood Dr, Houston, TX 77024. Private Investment. Manager. No relationship. Start: 11/2021. Zero hours a month, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Nakfoor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Michael Nakfoor's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 10, 2018 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Current
August 3, 2020 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Past
February 28, 1994 - January 22, 1999
TEXAS CAPITAL SECURITIES, INC.
BD
CRD#: 25564
HOUSTON, TX
Past
March 9, 1992 - October 22, 1993
TEXAS CAPITAL SECURITIES, INC.
BD
CRD#: 25564
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(6/21/2024)
IAR
Florida(3/10/2023)
IAR
Georgia(3/15/2023)
IAR
Texas(12/10/2018)
RR
Texas(8/13/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/3/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Mailing Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Phone number
(713) 965-9510
Established
Texas since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
