Mason H. Little

CETERA INVESTMENT ADVISERS LLC

SALISBURY, MD 21804

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CRD#: 2123692

Professional summary

Mason Hepburn Little, who also goes by Mason H Little, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salisbury, Maryland and CETERA ADVISORS LLC located in Salisbury, Maryland.

Mason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mason has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mason H 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.

1)CFS FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 06/2020, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES Update to OBA's only: 2)N/A, NOT INVESTMENT RELATED, EAST NEW MARKET, REAL ESTATE, STARTED 01/1995, POSITION/TITLE/RELATIONSHIP: OWNER WITH SPOUSE, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mason Hepburn Little's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 953 Mt Hermon Rd, Salisbury, MD 21804

RIA

CRD#: 105644

SALISBURY, MD

Current

June 12, 2020 - Present

CETERA ADVISORS LLC

Office #1: 953 Mt Hermon Rd, Salisbury, MD 21804

CRD#: 10299

Salisbury, MD

Past

June 12, 2020 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

September 9, 2011 - June 15, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SALISBURY, MD

Past

September 9, 2011 - June 15, 2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SALISBURY, MD

Past

January 1, 2008 - September 9, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SALISBURY, MD

Past

January 1, 2008 - September 9, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALISBURY, MD

Past

January 1, 1999 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SALISBURY, MD

Past

June 5, 1992 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

SALISBURY, MD

Past

January 2, 1992 - June 8, 1992

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 18, 1991 - December 31, 1991

W.H. NEWBOLD'S SON & CO., INC.

CRD#: 7575

Past

February 4, 1991 - March 11, 1991

PACIFIC SOUTHERN SECURITIES, INC.

CRD#: 13155

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/12/2020)

Colorado
(5/17/2023)

Delaware
(6/12/2020)

Florida
(6/12/2020)

Maryland
(6/12/2020)

IAR

Maryland
(3/21/2024)

Massachusetts
(6/12/2020)

New Jersey
(6/12/2020)

North Carolina
(4/8/2024)

Ohio
(8/10/2020)

Pennsylvania
(6/12/2020)

South Carolina
(5/11/2023)

Texas
(6/12/2020)

IAR

Texas
(3/21/2024)

Virginia
(6/12/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Mason H. Little

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mason Hepburn Little's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

OPPENHEIMER & CO. INC.

W.H. NEWBOLD'S SON & CO., INC.

PACIFIC SOUTHERN SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/1998

Series 63

Date: 2/12/1991

SIE

Date: 10/1/2018

Series 7

Date: 2/1/1991

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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