Charlie H. Littlejohn
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.
Charlie Harn Littlejohn JR, who also goes by Charlie Littlejohn, was a registered financial professional .
Charlie is a previously registered financial professional and started their career in finance in 1984. Charlie had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2006 - July 28, 2006
VOYA FINANCIAL ADVISORS, INC.
September 15, 2003 - May 16, 2006
NEW ENGLAND SECURITIES
July 20, 1995 - September 12, 2003
SIGMA FINANCIAL CORPORATION
December 6, 1994 - June 29, 1995
MCC SECURITIES, INC.
April 26, 1991 - October 20, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 7, 1991 - April 12, 1991
CAL FED INVESTMENTS
August 30, 1988 - September 20, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 6, 1988 - July 30, 1988
CARDINAL SECURITIES CORPORATION
February 21, 1986 - September 20, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 18, 1984 - February 5, 1986
CITIGROUP GLOBAL MARKETS INC.
May 7, 1984 - October 17, 1984
E. F. HUTTON & COMPANY INC
March 23, 1984 - April 16, 1984
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
