Jon W. Little

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CRD#: 2867457

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.

Jon Wellfort Little JR, CLU® was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1997. Jon had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

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®

CLU^®

Chartered Life Underwriter

Experience

Past

March 31, 2003 - March 25, 2015

HORIZON INVESTMENTS LLC

RIA

CRD#: 109552

BURNSIDE , IL

Past

July 31, 2000 - December 31, 2009

JON LITTLE INVESTMENTS AND INSURANCE

RIA

CRD#: 118051

BURNSIDE, IL

Past

June 30, 1997 - December 31, 1998

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

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".

HORIZON INVESTMENTS LLC

HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC

CRD#: 109552 / SEC#: 801-57316

RIA

Registered Investment Advisory firm - (2/24/2000 Approved)

South Carolina

Registered Investment Advisory firm - (12/10/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/21/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HORIZON INVESTMENTS LLC

HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC

CRD#: 109552 / SEC#: 801-57316

RIA

Registered Investment Advisory firm - (2/24/2000 Approved)

South Carolina

Registered Investment Advisory firm - (12/10/2003 Terminated)

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Contact information

Main Address

6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277

Mailing Address

Phone number

(704) 544-2399

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HORIZON FORM ADV 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,481
AUM (Assets Under Management)	$ 5,357,028,030

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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Jon W. Little

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORIZON INVESTMENTS LLC

JON LITTLE INVESTMENTS AND INSURANCE

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

HORIZON INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/18/2000

Series 63

Date: 4/11/1997

Series 6

Date: 5/21/1997

Current Firm

HORIZON INVESTMENTS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZON INVESTMENTS LLC

TRUST BUT VERIFY

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