James 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.
James Caldwell Little II, who also goes by Jay Little II, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 2 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 1996 - May 28, 1996
THE CHAMPION GROUP, INC.
November 30, 1994 - June 13, 1995
TEX-ANN CAPITAL CORP.
September 21, 1994 - October 3, 1994
THE CHAMPION GROUP, 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
THE CHAMPION GROUP, INC.
CRD#: 23418 / SEC#: , 8-40417
Contact information
FINRA licenses (46 States and Territories)
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.
