Brian T. Needleman
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 Todd Needleman, who also goes by Brian Needleman, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1993. Brian had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2018 - February 17, 2021
CORNERSTONE WEALTH
November 2, 2017 - August 4, 2020
MUTUAL SECURITIES, INC.
July 20, 2011 - January 4, 2018
CORNERSTONE WEALTH
July 20, 2011 - November 8, 2017
LPL FINANCIAL LLC
November 18, 2003 - July 20, 2011
SECURITIES AMERICA ADVISORS, INC.
November 17, 2003 - July 20, 2011
SECURITIES AMERICA, INC.
December 31, 2001 - November 19, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - November 19, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 4, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 24, 1996 - September 15, 1998
J.C. BRADFORD & CO.
August 11, 1993 - July 3, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CORNERSTONE WEALTH
CRD#: 289971 / SEC#: 801-112164
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
Current Firm
CORNERSTONE WEALTH
CRD#: 289971 / SEC#: 801-112164
Contact information
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,834 |
| AUM (Assets Under Management) | $ 2,108,342,140 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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