James W. Little
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.
James Whitney Little, who also goes by James W Little, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2023 - March 19, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2023 - March 19, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2014 - July 23, 2021
MORGAN STANLEY
June 11, 2014 - July 23, 2021
MORGAN STANLEY
April 25, 2011 - June 18, 2012
DEUTSCHE BANK SECURITIES INC.
January 21, 2009 - July 16, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - July 16, 2010
BARCLAYS CAPITAL INC.
June 13, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
January 14, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
July 17, 2006 - July 10, 2007
GOLDMAN SACHS & CO. LLC
January 8, 2004 - April 4, 2005
CREDIT SUISSE SECURITIES (USA) LLC
June 1, 2000 - January 13, 2004
MORGAN STANLEY DW INC.
April 15, 1985 - January 28, 2004
MORGAN STANLEY & CO. LLC
September 24, 1982 - April 24, 1985
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationSeries 8
Date: 11/13/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
