Sherry S. 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.
Sherry S Little, who also goes by Sherry Elizabeth Little, was a registered financial professional .
Sherry is a previously registered financial professional and started their career in finance in 1983. Sherry had worked at 13 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2011 - February 26, 2013
LPL FINANCIAL LLC
May 11, 2010 - December 20, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 7, 2008 - March 26, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 7, 2008 - March 26, 2009
LPL FINANCIAL LLC
October 4, 2005 - May 31, 2007
PFIC SECURITIES CORPORATION
November 3, 2000 - December 3, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2000 - December 3, 2004
IDS LIFE INSURANCE COMPANY
October 26, 2000 - December 3, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
May 31, 2000 - September 6, 2000
EQUITABLE ADVISORS, LLC
February 2, 1998 - January 21, 1999
CETERA INVESTMENT SERVICES LLC
April 23, 1997 - January 28, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 7, 1993 - April 24, 1997
NBC CAPITAL MARKETS GROUP, INC.
August 21, 1990 - April 23, 1991
STERNE, AGEE & LEACH, INC.
July 20, 1989 - March 8, 1990
THE ROBINSON-HUMPHREY COMPANY, LLC
August 3, 1988 - August 1, 1989
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 28, 1986 - June 25, 1988
REGIONS INVESTMENT COMPANY, INC.
March 23, 1983 - August 26, 1983
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
