DH
Dean G. Hlushko
NEEDHAM & COMPANY
Maple Grove, MN
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CRD#: 2732644
DH
Professional summary
Dean Gregory Hlushko is a registered financial advisor currently at NEEDHAM & COMPANY, LLC located in Maple Grove, Minnesota.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dean has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Club Corp Medina, non-investment related, Minneapolis, MN; Start date: June 2021; Part time Tennis instructor for a summer program. 40hrs per month/ 10 hrs per week.
CRS (Client Relationship Summary) - RIA
Click below to view Dean Gregory Hlushko's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dean Gregory Hlushko'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
April 6, 2022 - Present
NEEDHAM & COMPANY, LLC
RIA
BD
CRD#: 16360
Maple Grove, MN
Current
August 3, 2021 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177RIA
BD
CRD#: 16360
New York, NY
Past
March 1, 2011 - January 15, 2020
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
TUSCON, AZ
Past
January 3, 2011 - January 15, 2020
NUVEEN SECURITIES, LLC
BD
CRD#: 469
Tuscon, AZ
Past
October 11, 2004 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
May 20, 1999 - December 31, 2002
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
July 2, 1996 - June 26, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 2, 1996 - June 26, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(9/8/2025)
RR
Arizona(12/3/2021)
RR
Arkansas(10/18/2023)
RR
California(8/3/2021)
IAR
California(4/6/2022)
RR
Colorado(5/24/2022)
RR
Idaho(9/5/2025)
RR
Illinois(8/11/2021)
RR
Iowa(10/20/2023)
RR
Kansas(7/28/2023)
RR
Louisiana(9/4/2025)
RR
Massachusetts(8/4/2021)
RR
Minnesota(12/15/2021)
RR
Mississippi(6/7/2024)
RR
Missouri(5/26/2022)
RR
Montana(2/6/2024)
RR
Nebraska(9/4/2025)
RR
Nevada(2/1/2024)
RR
New Mexico(9/4/2025)
RR
New York(12/21/2021)
RR
North Dakota(9/15/2025)
RR
Oklahoma(1/30/2024)
RR
Oregon(11/9/2023)
RR
South Dakota(1/31/2024)
RR
Texas(5/24/2022)
RR
Utah(10/19/2023)
RR
Washington(6/3/2022)
RR
Wisconsin(6/1/2022)
RR
Wyoming(9/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
