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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2010-12-14
TX RA APPROVED 1991-11-22
  • FL RA
    APPROVED
    Since 2010-12-14
  • TX RA
    APPROVED
    Since 1991-11-22

Branch Locations

2100 Ross Ave, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dallas TX 09/1991 Present
Bank Of America, N.A. Dallas TX 05/2011 Present
Other Businesses

I*101192 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: D&J NETHERY LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALLAS, TEXAS 75225 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 2/16/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I AM PRESIDENT OF D&J NETHERY LLC. THIS IS THE 1% GENERAL PARTNER OF OUR FAMILY LIMITED PARTNERSHIP I*928267 For profit or not for profit: Entity For Profit Name of outside business organization: Nethery Investments I LLC Investment related: N Address of business: Dallas, Texas Nature of business: ["Corporation"] Position, title, association: ["Officer"], Start date of relationship: 7/25/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Entity was recommended by our estate planning attorney to enhance the protection of our personal estate.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-13
S63 Uniform Securities Agent State Law Examination 1991-11-20
  • S65 Uniform Investment Adviser Law Examination
    1993-09-13
  • S63 Uniform Securities Agent State Law Examination
    1991-11-20

View on SEC IAPD

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