John Stratton Mathews

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	1983-08-23

TX RA
APPROVED

Since 1983-08-23

Branch Locations

7675 Folsom Dr, Beaumont, TX 77706 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Beaumont	TX	02/1980	Present
Bank Of America, N.A.	Beaumont	TX	12/2009	Present

02/1980 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Beaumont, TX
12/2009 → Present

Bank Of America, N.A.

Beaumont, TX

Other Businesses

I*: 2538294Entity Type: For ProfitName of OBA: the m. flp, ltd.Address: Lumberton, TX 77657Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 06/02/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: Management of my personal estate assetsI*: 2535361Entity Type: For ProfitName of OBA: jtj associates, llcAddress: Lumberton, TX 77657Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 06/02/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: Manage my personal estateI*: 2535362Entity Type: For ProfitName of OBA: lta legacy, llcAddress: Lumberton, TX 77657Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 06/02/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0 Duties: Manage Personal EstateI*: 2535359 Entity Type: For ProfitName of OBA: the m. and d. flp. ltdAddress: Lumberton, TX 77657Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 06/02/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0 Duties: Management of personal estateI*: 2790311 Entity Type: Entity For Profit Name of OBA: J & L M FLP Address: LumbertonTexas77657 Investment Related: Yes Position, Title, Association: General Partner/Managing Member Employee Start Date: 10/20/2025 No Hours: 1hr/mo No Hours during trading:0 Duties: Asset Protection & Estate Planning Limited Partner

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-10
S63	Uniform Securities Agent State Law Examination	1988-09-20

S65 Uniform Investment Adviser Law Examination

1994-10-10
S63 Uniform Securities Agent State Law Examination

1988-09-20

View on SEC IAPD