Michael T. Little

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CRD#: 1333036

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.

Michael Thomas Little, who also goes by Michael T Little, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 22 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael T Little

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

AMERICA CHINA BRIDGE MICHAEL NORTH 59-517 AUKAUKA PLACE HALEIWA, HI 96712 THE BRIDGE: HTTP://WWW.AMERICACHINABRIDGE.COM O'AHU, HAWAI'I USA MJNORTH@IX.NETCOM.COM HTTP://WWW.MEDIASENSE.COM/MJN.HTM NATURE OF BUSINESS: FOR PROFIT FOUNDATION POSITION: ADVISOR TO THE BOARD START DATE: 6/1/1010 HOURS SPENT: 20 HOURS/MONTH DUTIES: STRATEGIC LIASON , BUSINESS DEVELOPMENT, EVENT COORDINATOR

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 12, 2014 - March 31, 2023

WARREN FINANCIAL SERVICE

RIA

CRD#: 119066

EXTON, PA

Past

June 25, 2013 - February 20, 2014

CANTONE RESEARCH INC.

CRD#: 26314

EATONTOWN, NJ

Past

July 11, 2011 - May 1, 2012

HALCYON CABOT PARTNERS, LTD.

CRD#: 32664

NEW YORK, NY

Past

January 25, 2011 - June 27, 2011

TRIPOINT GLOBAL EQUITIES/BANQ(R)

CRD#: 143174

NEW YORK, NY

Past

April 12, 2010 - October 19, 2010

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

NEW YORK, NY

Past

April 7, 2010 - October 19, 2010

ADVANCED EQUITIES, INC.

CRD#: 35545

NEW YORK, NY

Past

November 9, 2009 - April 6, 2010

AUGMENT SECURITIES INC.

CRD#: 28373

OLD GREENWICH, CT

Past

July 21, 2008 - March 3, 2009

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

January 23, 2008 - June 13, 2008

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063

NEW YORK, NY

Past

August 24, 2007 - January 2, 2008

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

NEW YORK, NY

Past

September 7, 2005 - August 29, 2007

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

May 24, 2005 - September 14, 2005

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

May 3, 2005 - May 3, 2005

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

August 12, 2004 - April 18, 2005

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

May 17, 2004 - July 26, 2004

KAUFMAN BROS., L.P.

CRD#: 37909

NEW YORK, NY

Past

February 24, 2003 - June 8, 2004

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 11, 2000 - February 24, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 1, 1998 - May 19, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

September 25, 1995 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

August 22, 1995 - October 25, 1995

AMERICORP SECURITIES, INC.

CRD#: 30405

NEW YORK, NY

Past

March 6, 1992 - September 13, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

July 25, 1990 - March 6, 1992

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 21, 1985 - July 26, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/10/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Current Firm

WARREN FINANCIAL SERVICE

WARREN FIANCIAL SERVICE & ASSOCIATES, INC. | WARREN FINANCIAL SERVICE & ASSOCIATES, INC. | WARREN FINANCIAL SERVICE

CRD#: 119066 / SEC#: 802-127869

RIA

Registered Investment Advisory firm - (3/31/2023 Terminated)

Delaware

Registered Investment Advisory firm - (12/31/2014 Terminated)

Illinois

Registered Investment Advisory firm - (4/9/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/22/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7 Dowlin Forge Rd, Exton, PA 19341

Mailing Address

Phone number

(610) 363-2000

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC REQUIRED ADV PART 2 DEC 2021 V1.0 (8/3/2022)

SEC WRAP FEE BROCHURE DEC 2021 V1.0 (3/2/2022)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	3/31/2023

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.

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Firm Stability Insights

Michael T. Little

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CANTONE RESEARCH INC.

HALCYON CABOT PARTNERS, LTD.

TRIPOINT GLOBAL EQUITIES/BANQ(R)

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

AUGMENT SECURITIES INC.

LAIDLAW & COMPANY (UK) LTD.

NEWOAK CAPITAL MARKETS LLC

NOBLE CAPITAL MARKETS, INC.

MAXIM GROUP LLC

GILFORD SECURITIES INCORPORATED

ANDREW GARRETT INC.

FERRIS, BAKER WATTS, LLC

KAUFMAN BROS., L.P.

OPPENHEIMER & CO. INC.

PRUDENTIAL EQUITY GROUP, LLC

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

AMERICORP SECURITIES, INC.

CIBC WORLD MARKETS CORP.

KIDDER, PEABODY & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/1993

Series 63

Date: 5/30/1985

Series 7

Date: 2/16/1985

Current Firm

WARREN FINANCIAL SERVICE

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

WARREN FINANCIAL SERVICE

TRUST BUT VERIFY

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