Joann 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.
Joann Christine Little, CFP®, who also goes by Joann C Lowery, was a registered financial professional .
Joann is a previously registered financial professional and started their career in finance in 1985. Joann had worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 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
Start date: 1989
Experience
November 12, 2020 - August 12, 2022
CETERA INVESTMENT ADVISERS LLC
February 11, 2020 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
January 23, 2020 - August 12, 2022
FIRST ALLIED SECURITIES, INC.
September 20, 2016 - November 15, 2019
SHORELINEAMBROSE ADVISORS, LLC
March 2, 2016 - May 22, 2017
SAGE CAPITAL ADVISORS, LLC
May 24, 2013 - October 1, 2014
FINANCE 500, INC.
July 6, 2012 - May 20, 2013
LPS CAPITAL LLC
June 1, 2009 - December 7, 2010
FINANCE 500, INC.
January 15, 2003 - May 11, 2009
ALLSTATE FINANCIAL SERVICES, LLC
January 18, 2001 - September 30, 2002
DFC INVESTOR SERVICES
January 25, 2000 - December 6, 2000
CETERA INVESTMENT SERVICES LLC
October 28, 1996 - December 23, 1999
SENTRA SECURITIES CORPORATION
April 26, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
March 23, 1995 - June 11, 1996
FIRST INTERSTATE INVESTMENTS,INC.
August 7, 1989 - March 27, 1995
INVEST FINANCIAL CORPORATION
July 23, 1985 - July 26, 1989
FINANCE 500, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
