BS
Brian M. Stollar
NEEDHAM & COMPANY
New York, NY 10177
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CRD#: 1907705
BS
Professional summary
Brian Michael Stollar is a registered financial professional currently at NEEDHAM & COMPANY, LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 10 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Michael Stollar's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 2, 2022 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177RIA
BD
CRD#: 16360
New York, NY
Past
August 13, 2015 - May 16, 2022
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
January 8, 2015 - August 3, 2015
LIFESCI CAPITAL
BD
CRD#: 168404
New York, NY
Past
July 1, 2013 - December 8, 2014
MLV & CO. LLC
BD
CRD#: 150959
NEW YORK, NY
Past
August 14, 2012 - November 5, 2012
THINKEQUITY LLC
BD
CRD#: 44274
NEW YORK, NY
Past
November 8, 2010 - July 2, 2012
UPHOLD SECURITIES INC.
BD
CRD#: 34071
NEW YORK, NY
Past
May 5, 2010 - September 16, 2010
G-2 TRADING,LLC
BD
CRD#: 44018
NEW YORK, NY
Past
October 15, 2008 - February 2, 2010
BROADPOINT AMTECH, INC.
BD
CRD#: 121456
GREENWICH, CT
Past
April 2, 2008 - September 9, 2008
NOBLE CAPITAL MARKETS, INC.
BD
CRD#: 15768
NEW YORK, NY
Past
February 8, 2001 - March 26, 2008
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/14/2024)
RR
Alaska(8/14/2024)
RR
Arizona(8/14/2024)
RR
Arkansas(8/14/2024)
RR
California(8/2/2022)
RR
Colorado(8/14/2024)
RR
Connecticut(8/14/2024)
RR
Delaware(8/14/2024)
RR
District of Columbia(8/14/2024)
RR
Florida(8/14/2024)
RR
Georgia(8/14/2024)
RR
Hawaii(8/14/2024)
RR
Idaho(8/14/2024)
RR
Illinois(8/14/2024)
RR
Indiana(8/14/2024)
RR
Iowa(8/14/2024)
RR
Kansas(8/14/2024)
RR
Kentucky(8/14/2024)
RR
Louisiana(8/14/2024)
RR
Maine(8/14/2024)
RR
Maryland(8/14/2024)
RR
Massachusetts(8/2/2022)
RR
Michigan(8/14/2024)
RR
Minnesota(8/14/2024)
RR
Mississippi(8/14/2024)
RR
Missouri(8/14/2024)
RR
Montana(8/14/2024)
RR
Nebraska(8/14/2024)
RR
Nevada(8/14/2024)
RR
New Hampshire(8/14/2024)
RR
New Jersey(8/14/2024)
RR
New Mexico(8/14/2024)
RR
New York(8/2/2022)
RR
North Carolina(8/14/2024)
RR
North Dakota(8/14/2024)
RR
Ohio(8/15/2024)
RR
Oklahoma(8/14/2024)
RR
Oregon(8/14/2024)
RR
Pennsylvania(8/14/2024)
RR
Puerto Rico(8/14/2024)
RR
Rhode Island(8/14/2024)
RR
South Carolina(8/14/2024)
RR
South Dakota(8/14/2024)
RR
Tennessee(8/14/2024)
RR
Texas(8/14/2024)
RR
Utah(8/14/2024)
RR
Vermont(8/14/2024)
RR
Virgin Islands(8/14/2024)
RR
Virginia(8/14/2024)
RR
Washington(8/14/2024)
RR
West Virginia(8/14/2024)
RR
Wisconsin(8/14/2024)
RR
Wyoming(8/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Park Avenue 10th Floor, New York, NY 10177
Mailing Address
250 Park Avenue 10th Floor, New York, NY 10177
Phone number
(212) 371-8300
Established
Delaware since 04/04/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
185
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEEDHAM HOLDINGS, LLC | MEMBER | |
| IACOVONE, JACK JAMES | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | 2877398 |
| PRIOR, JOHN JOSEPH JR | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | 1076802 |
| ABBRUZZESE, JAMES MICHAEL | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | 2960715 |
| FIORDALISO, ROBERT JOSEPH | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 2518397 |
| LAUFER, DAVID MICHAEL | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | 4336854 |
| MALIK, ANDREW JOSEPH | MANAGING DIRECTOR, CHAIRMAN | 317860 |
| MALLOY, JOHN PATRICK | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 5322002 |
| MALONEY, THOMAS ANTHONY | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 2386331 |
| MERLINO, SALVATORE ANTHONY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 4397078 |
Disclosures
| Regulatory Event | 27 |
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.
