Jeffrey F. Little
Professional summary
Jeffrey Francis Little, who also goes by Jeffrey Little, Jeffrey F Little, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Smithfield, Rhode Island.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jeffrey has worked at 5 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Francis Little's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Francis Little's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2024 - Present
PNC WEALTH MANAGEMENT LLC
November 13, 2024 - Present
PNC WEALTH MANAGEMENT LLC
October 16, 2024 - November 14, 2024
LPL ENTERPRISE, LLC
October 16, 2024 - November 14, 2024
LPL ENTERPRISE, LLC
October 7, 2016 - July 2, 2024
CITIZENS SECURITIES, INC.
October 7, 2016 - July 2, 2024
CITIZENS SECURITIES, INC.
May 4, 2004 - April 14, 2016
CITIZENS SECURITIES, INC.
May 3, 2004 - April 14, 2016
CITIZENS SECURITIES, INC.
November 13, 2002 - April 26, 2004
QUICK & REILLY, INC.
November 13, 2002 - April 26, 2004
QUICK & REILLY, INC.
August 11, 2000 - November 12, 2002
MORGAN STANLEY DW INC.
September 23, 1998 - November 12, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/13/2024)
(11/13/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
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.
