Stephen A. Little
Professional summary
Stephen Alan Little, who also goes by Stephen Allen Little, is a registered financial advisor currently at THE ROSE INVESTMENT MANAGEMENT located in Indianapolis, Indiana.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Stephen has worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Alan Little's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 1998 - Present
THE ROSE INVESTMENT MANAGEMENT
October 20, 1982 - August 15, 1990
UNIFIED FINANCIAL SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/21/1998)
Exams
Current Firm
THE ROSE INVESTMENT MANAGEMENT
CRD#: 121999 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 28,289,577 |
Red Flags
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