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SL

Stuart C. Littler

Some features on this profile are disabled
CRD#: 2496267
SL

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.

Stuart Charles Littler, who also goes by Stuart C Littler, was a registered financial professional .

Stuart is a previously registered financial professional and started their career in finance in 1994. Stuart had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stuart C Littler

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.
The advisor shows no other business activity.

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

September 15, 2022 - May 2, 2024

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

January 2, 2019 - September 12, 2022

VISION 4 FUND DISTRIBUTORS

BD
CRD#: 298105
SCOTTSDALE, AZ
Past

August 21, 2018 - December 31, 2018

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA
Past

July 7, 2016 - December 31, 2017

SIERRA INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106615
Essex, CT
Past

June 3, 2016 - April 30, 2018

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

July 24, 2014 - January 11, 2016

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK CITY, NY
Past

February 13, 2014 - July 11, 2014

TSC DISTRIBUTORS, LLC

BD
CRD#: 37058
BOSTON, MA
Past

January 25, 2012 - April 5, 2013

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

December 16, 2011 - December 31, 2012

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
ESSEX, CT
Past

November 4, 2010 - April 5, 2013

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
ESSEX, CT
Past

January 1, 2002 - December 31, 2010

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

November 15, 1994 - August 1, 1997

MANUFACTURERS SECURITIES SERVICES, LLC

BD
CRD#: 16009
BOSTON, MA
Past

November 15, 1994 - January 1, 2002

MANULIFE WOOD LOGAN, INC.

BD
CRD#: 19177
STAMFORD, CT

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
RR
IAR
Series 66
Date: 1/24/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/25/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/14/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/5/2008
Investment Company Products/Variable Contracts Principal Examination

Current Firm

NS
NEXPOINT SECURITIES, INC.
HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. | PYXIS DISTRIBUTORS, INC. | NEXPOINT SECURITIES, INC.

CRD#: 165013 / SEC#: , 8-69128

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Mailing Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Phone number
(833) 697-6246
Established
Delaware since 06/14/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEXPOINT ASSET MANAGEMENT, L.P.SHAREHOLDER149653
HOLT, DAVID ERICCHIEF COMPLIANCE OFFICER/ POO2426935
NORRIS, DUSTIN DAVIDPRESIDENT6624477
RUSSELL, SARAH DETLINGFINOP / PFO6727189

Disclosures

Regulatory Event1

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

NEXPOINT SECURITIES, INC.

CRD#: 165013

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