James D. Netherland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Dale Netherland was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 6 firms and has passed the Series 63, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2015 - February 1, 2019
INSTITUTIONAL SECURITIES CORPORATION
September 15, 2006 - November 7, 2019
NETHERLAND SECURITIES, INC.
April 1, 1997 - February 8, 2016
NETHERLAND SECURITIES, INC.
November 11, 1996 - June 13, 1997
PRIVATE BROKERS CORPORATION
September 14, 1984 - November 5, 1996
HILLTOP SECURITIES INC.
December 13, 1972 - September 14, 1984
INSTITUTIONAL EQUITY CORPORATION
November 5, 1970 - July 18, 1973
CLARK & CLARK SECURITIES INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/18/1977
AMEX Put and Call ExamSeries 1
Date: 12/14/1964
Registered Representative ExaminationSeries 00
Date: 11/3/1970
General Securities Principal ExaminationCurrent Firm
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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