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Brian E. Brett

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CRD#: 1286476
BB

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.

Brian Edward Brett, CFP® was a registered financial advisor .

Brian is a previously registered financial advisor and started their career in finance in 1984. Brian had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

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®
CFP®

Certified Financial Planner

Experience

Past

February 28, 2018 - May 5, 2022

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 287788
Irving`, TX
Past

January 4, 2005 - March 1, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
IRVING, TX
Past

December 9, 2004 - December 31, 2004

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

July 30, 2002 - November 12, 2004

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
DALLAS, TX
Past

October 16, 2000 - November 12, 2004

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

January 30, 1997 - November 12, 2004

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY
Past

July 3, 1995 - November 15, 1996

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

November 28, 1990 - May 18, 1995

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

September 15, 1987 - August 23, 1990

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

July 30, 1986 - December 12, 1986

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848
Past

August 14, 1984 - July 12, 1985

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

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 65
Date: 9/6/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/29/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/13/1989
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/1986
General Securities Principal Examination

Current Firm

RI
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
RESOLUTE INVESTMENT DISTRIBUTORS, INC.

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RESOLUTE INVESTMENT MANAGERS, INC.SOLE SHAREHOLDER
MCKINNEY, TERRI LYNNDIRECTOR2967330
SEARS, CHRISTINA ELAINEVICE PRESIDENT2708589
STUMM, GREGORY JOHN JR.PRESIDENT, DIRECTOR, AND CEO4730753
WALL, STUART WESLEYCHIEF COMPLIANCE OFFICER2554023

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.

Company Information

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

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