Howard M. Needle
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.
Howard Marc Needle was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1988. Howard had worked at 9 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 6, Series 55, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2020 - November 12, 2021
FORESIDE FUND SERVICES, LLC
October 8, 2019 - October 7, 2020
T3 TRADING GROUP, LLC
November 28, 2018 - February 4, 2019
T3 TRADING GROUP, LLC
October 10, 2016 - April 17, 2017
RFS PARTNERS
July 24, 2003 - January 26, 2007
ACUITY CAPITAL MANAGEMENT, LLC
May 29, 2002 - February 25, 2003
NATWEST MARKETS SECURITIES INC.
February 19, 1998 - March 14, 2002
BANC OF AMERICA SECURITIES LLC
March 20, 1997 - February 19, 1998
NATWEST SECURITIES CORPORATION
September 12, 1995 - February 25, 1997
DB ALEX. BROWN LLC
November 23, 1988 - September 12, 1995
LEHMAN BROTHERS INC.
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
Series 57TO
Date: 11/28/2018
Securities Trader ExamSeries 55
Date: 4/5/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 10/1/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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