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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-02-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Flower Mound | TX | 02/2015 | Present |
| Bank Of America, N.A. | Flower Mound | TX | 04/2015 | Present |
I*78859FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DALLAS PRODUCTIONINVESTMENT RELATED: NADDRESS OF BUSINESS: 4600 GREENVILLE AVE, DALLAS, TEXAS 75206NATURE OF BUSINESS: FAMILY BUSINESS,POSITION, TITLE, ASSOCIATION: OTHER, MINERAL INTEREST OWNERSTART DATE OF RELATIONSHIP: 3/4/2013NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DALLAS PRODUCTION HAS AN OIL AND GAS LEASE ON MINERAL INTEREST THAT I OWN IN PALO PINTO COUNTYI RECEIVE PERIODIC CHECKS FROM DALLAS PRODUCTION AS I AM A ROYALTY OWNER.I*78810FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RAISE, SHOW AND SELL QUARTER HORSESINVESTMENT RELATED: NADDRESS OF BUSINESS:DENTON, TEXAS 76210NATURE OF BUSINESS: FAMILY BUSINESS,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 3/14/1990NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RAISE SHOW AND SELL QUARTER HORSES I*3961274 Entity Type: N/A Name of OBA: J C Address: Denton, Texas, 76210 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 09/18/2024 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Self, Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-27 |
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