Stephen P. Haines

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CRD#: 4702888

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.

Stephen Paul Haines, who also goes by Stephen Haines, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2003. Stephen had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Haines

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®

None

Experience

Past

February 28, 2018 - March 22, 2018

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

Irving`, TX

Past

August 24, 2017 - March 1, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

IRVING, TX

Past

October 13, 2014 - February 7, 2017

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

DALLAS, TX

Past

March 11, 2010 - March 21, 2014

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

March 11, 2010 - March 21, 2014

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

Past

November 25, 2009 - March 4, 2010

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

LEWISVILLE, TX

Past

April 2, 2008 - March 3, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

DALLAS, TX

Past

April 2, 2008 - March 3, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

DALLAS, TX

Past

April 21, 2005 - August 9, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ARLINGTON, TX

Past

April 21, 2005 - August 9, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ARLINGTON, TX

Past

December 2, 2003 - November 15, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WASHINGTON, DC

Past

September 26, 2003 - November 15, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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 66

Date: 10/20/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/2003

General Securities Representative Examination

Current Firm

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
RESOLUTE INVESTMENT MANAGERS, INC.	SOLE SHAREHOLDER
MCKINNEY, TERRI LYNN	DIRECTOR	2967330
SEARS, CHRISTINA ELAINE	VICE PRESIDENT	2708589
STUMM, GREGORY JOHN JR.	PRESIDENT, DIRECTOR, AND CEO	4730753
WALL, STUART WESLEY	CHIEF COMPLIANCE OFFICER	2554023

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.

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Advisor Monitoring

Firm Stability Insights

Stephen P. Haines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2003

SIE

Date: 3/22/2018

Series 7

Date: 9/23/2003

Current Firm

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

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