ML
Matthew Little
CETERA INVESTMENT ADVISERS LLC
FRAMINGHAM, MA 01701
Some features on this profile are disabled
CRD#: 2166613
ML
Professional summary
Matthew Little is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Framingham, Massachusetts and CETERA ADVISORS LLC located in Framingham, Massachusetts.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Matthew has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FIXED INSURANCE;
START DATE: 2010;
APX NUMBER OF HOURS PER WEEK: 2 HOURS;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT;
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES, AND LONG-TERM CARE.
2. NAME OF OTHER BUSINESS: DBA NORTHEAST INVESTMENT ADVISORS;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 2006;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR;
APX NUMBER OF HOURS PER WEEK: 40 HOURS;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS;
BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS.
3. NAME OF OTHER BUSINESS: MAYFLOWER REALTY PARTNERS LLC;
INVESTMENT RELATED: NO;
ADDRESS: 41 PENNOCK RD, ASHLAND, MA 01721;
NATURE OF BUSINESS: REAL ESTATE / FLIP OR RENT;
START DATE: 09/2019;
POSITION/TITLE/RELATIONSHIP: OWNER;
APX NUMBER OF HOURS PER WEEK: 4;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES;
BRIEF DESCRIPTION OF DUTIES: BUY REAL ESTATE TO FLIP OR RENT;
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Little's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 40 Speen Street Suite 202, Framingham, MA 01701RIA
CRD#: 105644
FRAMINGHAM, MA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 40 Speen Street Suite 202, Framingham, MA 01701BD
CRD#: 10299
Framingham, MA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 8, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FRAMINGHAM, MA
Past
December 4, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
FRAMINGHAM, MA
Past
October 3, 2007 - December 16, 2009
B.B. GRAHAM & COMPANY, INC.
RIA
CRD#: 41533
FRAMINGHAM, MA
Past
September 7, 2007 - December 16, 2009
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
FRAMINGHAM, MA
Past
June 6, 2006 - September 12, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
BD
CRD#: 104476
FRAMINGHAM, MA
Past
May 29, 2001 - June 7, 2006
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
NATICK, MA
Past
April 27, 2000 - May 22, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
August 24, 1998 - April 28, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
August 26, 1992 - June 9, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
October 2, 1991 - January 16, 1992
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(2/27/2017)
RR
Florida(10/3/2016)
RR
Maryland(3/7/2022)
RR
Massachusetts(10/3/2016)
IAR
Massachusetts(3/21/2024)
RR
Nevada(10/3/2016)
RR
New Hampshire(10/3/2016)
RR
New York(10/3/2016)
RR
Oregon(10/3/2016)
RR
Rhode Island(6/25/2020)
RR
Washington(2/8/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Framingham, MA 01701TRUST BUT VERIFY
Monitor Matthew Little
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
