AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
GN

Gene Louis Needles Jr

CRD# 1068224·Registered 1982 - 2022
Previously Registered: Being a previously registered professional could mean that Gene 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.

Professional Summary

Gene Louis Needles JR, who also goes by Gene Louis Jr Needles, was a registered financial advisor. Gene was a previously registered financial professional and started their career in finance 1982 - 2022. Gene had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5, Series 7 and Series 24 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Gene Louis Jr Needles

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

44 years in the financial services industry

Current & Past Employments

RESOLUTE INVESTMENT DISTRIBUTORS, INC.·CRD# 287788
BD
Irving`, TX
November 17, 2017 - April 18, 2022
AMERICAN BEACON ADVISORS, INC.·CRD# 105552
RIA
Irving, TX
November 12, 2010 - September 21, 2022
FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
Irving, TX
May 7, 2009 - November 16, 2017
TOUCHSTONE ADVISORS INC·CRD# 107028
RIA
Cincinnati, OH
October 31, 2008 - April 15, 2009
TOUCHSTONE SECURITIES, LLC·CRD# 1526
BD
Cincinnati, OH
October 17, 2008 - April 15, 2009
INVESCO DISTRIBUTORS, INC.·CRD# 7369
RIA
Houston, TX
May 10, 2006 - October 1, 2007
AIM PRIVATE ASSET MANAGEMENT·CRD# 109264
RIA
Houston, TX
October 4, 2005 - October 1, 2007
INVESCO DISTRIBUTORS, INC.·CRD# 7369
BD
Houston, TX
April 8, 1993 - October 1, 2007
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP·CRD# 7325
BD
Boston, MA
October 23, 1989 - March 24, 1993
STATE STREET RESEARCH INVESTMENT SERVICES, INC.·CRD# 17580
BD
Boston, MA
March 24, 1987 - September 13, 1989
JMB SECURITIES CORPORATION·CRD# 5862
BD
June 30, 1986 - February 3, 1987
LEHMAN BROTHERS KUHN LOEB INCORPORATED·CRD# 7555
BD
March 30, 1984 - June 26, 1984
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
June 7, 1983 - December 12, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
October 20, 1982 - June 3, 1983

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

RI
RESOLUTE INVESTMENT DISTRIBUTORS, INC.

AMERICAN BEACON PARTNERS | RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788 / SEC#: 8-69912
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

220 East Las Colinas Blvd. Ste. 1200, Irving, TX 75039

Mailing Address

220 East Las Colinas Blvd. Ste. 1200, Irving, TX 75039

Phone Number

(817) 391-6100

Established

Delaware since 02/02/2017

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
RESOLUTE INVESTMENT MANAGERS, INC.SOLE SHAREHOLDER—
MCKINNEY, TERRI LYNNDIRECTOR2967330
SEARS, CHRISTINA ELAINEVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER2708589
STUMM, GREGORY JOHN JR.PRESIDENT, DIRECTOR, AND CEO4730753

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) AMERICAN BEACON ADVISORS, INC., FORT WORTH, TX, INVESTMENT RELATED, START DATE 04/2009, EO, MANAGEMENT OF BUSINESS, 40 HRS/WK, SALARY. Mr. Needles also serves in the following capacities for affiliates of American Beacon Advisors; (Chairman, CEO; Resolute Investment Holdings, LLC, Resolute Topco, Inc., Resolute Acquisition, Inc., Resolute Investment Managers, Inc., ) (Director; Resolute Investment Distributors, Inc.,)( President, Manager; American Private Equity Management, LLC.) (Director; ARK Investment Management GP, LLC, ARK Investment Management, LP.) (Director; Shapiro Capital Management, LLC (as of 4/7/2017).)( President American Beacon Funds, American Beacon Select Funds, American Beacon Institutional Funds Trust)(Trustee; American Beacon NextShares Trust.) There is no additional compensation for these positions and his time commitment is less than 15% with these affiliates. 2) Continuous Capital, LLC, director, chairman & CEO which is an affiliate of Resolute Investment Distributors. 3) SSI Investment Management, Beverly Hill, CA, Investment related, start date 6/1/2019, Director, 3 hours a month all during trading hours 4) RSW Investment Holdings LLC, Summit NJ, investment related, start date 4/1/19, Director 5) Green Harvest Asset Management, Portsmouth, NH, Investment related, start date 07/2019, director, 3 hours a month all during trading hours

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2005About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1982About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 2015About the Series 3 exam

Series 5 — Interest Rate Options Examination

Passed Dec 1982

Series 7 — General Securities Representative Examination

Passed Oct 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2003About the Series 24 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
GN
Follow Gene
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required