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Gregory John Stumm Jr.

RESOLUTE INVESTMENT DISTRIBUTORS
Irving`, TX
·CRD# 4730753·23 years experience

Professional Summary

Gregory John Stumm JR. is a registered financial advisor currently at RESOLUTE INVESTMENT DISTRIBUTORS, INC. located in Irving`, Texas. Gregory is registered as a RR (Registered Representative) and started their career in finance in 2003. Gregory has worked at 4 firms and has passed the Series 63, Series 3, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

RESOLUTE INVESTMENT DISTRIBUTORS, INC.·CRD# 287788
BD
220 East Las Colinas Blvd. Suite 1200, Irving`, TX 75039
February 28, 2018 - Present
FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
Philadelphia, PA
November 20, 2012 - March 1, 2018
GUARDIAN INVESTOR SERVICES LLC·CRD# 6635
BD
New York, NY
January 14, 2009 - November 9, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC·CRD# 8326
BD
Wayne, PA
November 21, 2003 - January 12, 2009

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Current Firm

RI
RESOLUTE INVESTMENT DISTRIBUTORS, INC.

AMERICAN BEACON PARTNERS | RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788 / SEC#: 8-69912
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
RESOLUTE INVESTMENT MANAGERS, INC.SOLE SHAREHOLDER—
MCKINNEY, TERRI LYNNDIRECTOR2967330
SEARS, CHRISTINA ELAINEVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER2708589
STUMM, GREGORY JOHN JR.PRESIDENT, DIRECTOR, AND CEO4730753

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(3/1/2018)
RR
Alaska
(3/1/2018)
RR
Arizona
(3/1/2018)
RR
Arkansas
(3/1/2018)
RR
California
(2/28/2018)
RR
Colorado
(2/28/2018)
RR
Connecticut
(3/1/2018)
RR
Delaware
(2/28/2018)
RR
District of Columbia
(3/1/2018)
RR
Florida
(2/28/2018)
RR
Georgia
(2/28/2018)
RR
Hawaii
(2/28/2018)
RR
Idaho
(2/28/2018)
RR
Illinois
(2/28/2018)
RR
Indiana
(3/1/2018)
RR
Iowa
(3/1/2018)
RR
Kansas
(3/1/2018)
RR
Kentucky
(3/1/2018)
RR
Louisiana
(3/1/2018)
RR
Maine
(3/1/2018)
RR
Maryland
(2/28/2018)
RR
Massachusetts
(3/1/2018)
RR
Michigan
(3/1/2018)
RR
Minnesota
(3/1/2018)
RR
Mississippi
(2/28/2018)
RR
Missouri
(3/1/2018)
RR
Montana
(2/28/2018)
RR
Nebraska
(3/1/2018)
RR
Nevada
(3/1/2018)
RR
New Hampshire
(3/1/2018)
RR
New Jersey
(2/28/2018)
RR
New Mexico
(3/1/2018)
RR
New York
(2/28/2018)
RR
North Carolina
(3/1/2018)
RR
North Dakota
(2/28/2018)
RR
Ohio
(3/1/2018)
RR
Oklahoma
(2/28/2018)
RR
Oregon
(3/1/2018)
RR
Pennsylvania
(3/1/2018)
RR
Puerto Rico
(3/1/2018)
RR
Rhode Island
(3/1/2018)
RR
South Carolina
(3/1/2018)
RR
South Dakota
(3/1/2018)
RR
Tennessee
(2/28/2018)
RR
Texas
(2/28/2018)
RR
Utah
(3/1/2018)
RR
Vermont
(3/1/2018)
RR
Virgin Islands
(3/1/2018)
RR
Virginia
(3/1/2018)
RR
Washington
(2/28/2018)
RR
West Virginia
(3/1/2018)
RR
Wisconsin
(3/1/2018)
RR
Wyoming
(2/28/2018)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2003About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Apr 2022About the Series 3 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2016About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 2003About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Aug 2017About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Gregory John Stumm JR.'s CRS (Customer Relationship Summary).

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