Cory C. 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.
Cory Claire Little, who also goes by Cory Claire Abernathey, was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 1984. Cory had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 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 28, 2011 - November 10, 2016
VALMARK SECURITIES, INC.
March 7, 2006 - July 7, 2006
WAVE SECURITIES, LLC
August 4, 2004 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 1992 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 1989 - April 29, 1992
SALOMON BROTHERS INC.
January 3, 1986 - March 13, 1989
KLEINWORT BENSON NORTH AMERICA INC.
July 25, 1984 - December 3, 1985
PARKER/HUNTER INCORPORATED
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 8
Date: 10/14/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
