Gene L. Needles

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CRD#: 1068224

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.

Gene Louis Needles JR, who also goes by Gene Louis Jr Needles, was a registered financial professional .

Gene is a previously registered financial professional and started their career in finance in 1982. 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.

Question & Answer

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Aliases

Gene Louis Jr Needles

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

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CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 17, 2017 - April 18, 2022

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

Irving`, TX

Past

November 12, 2010 - September 21, 2022

AMERICAN BEACON ADVISORS, INC.

RIA

CRD#: 105552

IRVING, TX

Past

May 7, 2009 - November 16, 2017

FORESIDE FUND SERVICES, LLC

CRD#: 46106

IRVING, TX

Past

October 31, 2008 - April 15, 2009

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

CINCINNATI, OH

Past

October 17, 2008 - April 15, 2009

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

May 10, 2006 - October 1, 2007

INVESCO DISTRIBUTORS, INC.

RIA

CRD#: 7369

HOUSTON, TX

Past

October 4, 2005 - October 1, 2007

AIM PRIVATE ASSET MANAGEMENT

RIA

CRD#: 109264

HOUSTON, TX

Past

April 8, 1993 - October 1, 2007

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

October 23, 1989 - March 24, 1993

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

March 24, 1987 - September 13, 1989

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

June 30, 1986 - February 3, 1987

JMB SECURITIES CORPORATION

CRD#: 5862

Past

March 30, 1984 - June 26, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

June 7, 1983 - December 12, 1983

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 20, 1982 - June 3, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/30/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/14/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 12/8/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2003

General Securities Principal Examination

Current Firm

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788 / SEC#: , 8-69912

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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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

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RESOLUTE INVESTMENT MANAGERS, INC.	SOLE SHAREHOLDER
MCKINNEY, TERRI LYNN	DIRECTOR	2967330
SEARS, CHRISTINA ELAINE	VICE PRESIDENT	2708589
STUMM, GREGORY JOHN JR.	PRESIDENT, DIRECTOR, AND CEO	4730753
WALL, STUART WESLEY	CHIEF COMPLIANCE OFFICER	2554023

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.

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Firm Stability Insights

Gene L. Needles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN BEACON ADVISORS, INC.

FORESIDE FUND SERVICES, LLC

TOUCHSTONE ADVISORS INC

TOUCHSTONE SECURITIES, INC.

INVESCO DISTRIBUTORS, INC.

AIM PRIVATE ASSET MANAGEMENT

INVESCO DISTRIBUTORS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

JMB SECURITIES CORPORATION

LEHMAN BROTHERS KUHN LOEB INCORPORATED

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2005

Series 63

Date: 11/23/1982

SIE

Date: 10/1/2018

Series 3

Date: 12/14/2015

Series 5

Date: 12/8/1982

Series 7

Date: 10/16/1982

Series 24

Date: 2/28/2003

Current Firm

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

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