David M. Little
Professional summary
David Michael Little, CFP®, CPWA® is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Limerick, Pennsylvania and CNR SECURITIES, LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Little's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021-09-09
Expire date: 2023-08-31
Experience
April 27, 2016 - Present
CITY NATIONAL ROCHDALE
Office #1: 315 W Ridge Pike, Limerick, PA 19468April 26, 2016 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022May 17, 2010 - April 19, 2016
BNY ADVISORS
July 19, 2006 - May 17, 2010
LOCKWOOD FINANCIAL SERVICES, INC.
February 6, 2004 - March 27, 2008
BNY ADVISORS
December 15, 2003 - April 19, 2016
PERSHING LLC
September 10, 1999 - December 31, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
January 21, 1999 - September 3, 1999
A. G. EDWARDS & SONS, INC.
March 9, 1998 - January 1, 1999
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/26/2016)
(4/27/2016)
(4/26/2016)
(2/2/2024)
(4/26/2016)
(4/26/2016)
(4/26/2016)
(4/26/2016)
(2/5/2024)
(4/26/2016)
(4/26/2016)
(2/2/2024)
(4/26/2016)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
Company Information
CITY NATIONAL ROCHDALE
CRD#: 117198Limerick, PA 19468TRUST BUT VERIFY
Monitor David Little
Get automatic monthly alerts on:
