Vincent L. 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.
Vincent Lloyd Little, who also goes by VInce Little, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1993. Vincent had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2005 - October 4, 2013
AMHERST SECURITIES GROUP, L.P.
May 22, 1998 - June 2, 2005
ADVEST, INC.
August 19, 1996 - June 2, 1998
FIRST CLEARING, LLC
August 18, 1994 - August 20, 1996
MERIDIAN SECURITIES, INC.
April 20, 1993 - August 18, 1994
MARCUS, STOWELL & BEYE, INC.
April 20, 1993 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
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
Current Firm
AMHERST SECURITIES GROUP, L.P.
CRD#: 31141 / SEC#: , 8-45364
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMHERST ASG HOLDINGS LLC | HOLDING COMPANY | |
| ASG GENERAL PARTNER, INC. | GENERAL PARTNER | |
| BARTKOWIAK, DARLA KERLEE | CHIEF COMPLIANCE OFFICER/DIRECTOR | 1065868 |
| BROWNE, KEVIN JAMES | SVP/FINOP | 1304129 |
| COALE, STEPHEN LORING | DIRECTOR | 1292536 |
| DOBSON, SEAN ALAN | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2009497 |
| MULLANEY, RICHARD RYAN JR | DIRECTOR | 1229830 |
| WALSH, JOSEPH NORTON III | PRESIDENT/DIRECTOR | 2804671 |
Red Flags
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