Mary F. Nettrour
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.
Mary Fairbank Nettrour, who also goes by Mimi F Nettrour, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1976. Mary had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2009 - November 13, 2012
SANDERS MORRIS LLC
July 6, 2009 - November 13, 2012
SANDERS MORRIS LLC
February 22, 2001 - May 21, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - May 21, 2009
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 26, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
March 21, 1983 - November 2, 1984
BOETTCHER & COMPANY, INC.
September 26, 1978 - March 9, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TECTONIC FINANCIAL, INC. | PARENT COMPANY | |
| KUEBLER, ERICK GEORGE REVELLE | CHIEF EXECUTIVE OFFICER | 2319437 |
| BALL, GEORGE LESTER | REGISTERED ASSOCIATE | 11332 |
| BLOCK, DAVID WILLIAM | OPERATIONS MANAGER | 2327799 |
| HUNT, DAVID LEE | CHIEF COMPLIANCE OFFICER | 2772872 |
| KUEBLER, ERICK GEORGE REVELLE | MANAGER, PRESIDENT | 2319437 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| SHERMAN, ARTHUR HAAG | MANAGER | 2813406 |
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 991,714,376 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
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.
