Marc S. Little

STEPHENS INVESTMENT MANAGEMENT GROUP

Houston, TX 77046

Some features on this profile are disabled

CRD#: 2967142

Professional summary

Marc Shiels Little is a registered financial advisor currently at STEPHENS INVESTMENT MANAGEMENT GROUP, LLC located in Houston, Texas.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Marc has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 26 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Shiels Little's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 15, 2016 - Present

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

Office #1: 9 Greenway Plaza, Houston, TX 77046

RIA

CRD#: 136369

Houston, TX

Past

August 15, 2016 - December 22, 2023

STEPHENS

RIA

CRD#: 3496

HOUSTON, TX

Past

August 15, 2016 - December 22, 2023

STEPHENS

CRD#: 3496

HOUSTON, TX

Past

May 19, 2015 - August 12, 2016

SALIENT CAPITAL ADVISORS, LLC

RIA

CRD#: 153914

HOUSTON, TX

Past

May 19, 2015 - August 12, 2016

SALIENT CAPITAL L.P.

CRD#: 147912

HOUSTON, TX

Past

January 1, 2010 - February 2, 2015

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

July 25, 2005 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA

CRD#: 109264

HOUSTON, TX

Past

January 1, 1998 - February 2, 2015

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

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".

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA

Registered Investment Advisory firm - (9/2/2005 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.

Highlighted states indicate IAR registrations

IAR

Texas
(8/15/2016)

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: 7/22/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/4/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/30/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/7/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA

Registered Investment Advisory firm - (9/2/2005 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

111 Center Street, Little Rock, AR 72201

Mailing Address

Phone number

(800) 458-6589

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 7,637,388,860

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/22/2025	Cover Page	Report
02/07/2024	Cover Page	Report
11/29/2022	Cover Page	Report

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marc S. Little

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Shiels Little's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHENS

STEPHENS

SALIENT CAPITAL ADVISORS, LLC

SALIENT CAPITAL L.P.

INVESCO ADVISERS, INC.

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

INVESCO DISTRIBUTORS, INC.

Primary Firm SEC Registration

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2005

Series 63

Date: 12/30/1997

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/4/2006

Series 6

Date: 12/30/1997

Series 26

Date: 9/7/2001

Current Firm

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

Similar Advisors