David J. 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.
David Jennings Little was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1971. David had worked at 12 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2008 - March 12, 2011
INDEPENDENT FINANCIAL GROUP, LLC
December 12, 2008 - March 12, 2011
INDEPENDENT FINANCIAL GROUP, LLC
March 28, 2006 - December 12, 2008
EPLANNING ADVISORS INC
December 11, 2003 - March 23, 2006
BEECHWOOD ADVISORY GROUP, LLC
October 3, 2003 - December 12, 2008
EPLANNING SECURITIES, INC.
January 30, 2003 - October 8, 2003
INSTITUTIONAL ADVISOR SERVICES
April 5, 2000 - October 8, 2003
INSTITUTIONAL ADVISOR SERVICES
August 7, 1995 - April 4, 2000
WS GRIFFITH SECURITIES, INC.
August 28, 1986 - March 1, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 21, 1983 - August 3, 1995
LPL FINANCIAL LLC
June 4, 1979 - August 12, 1982
APEX FINANCIAL PLANNERS CORP.
January 14, 1977 - June 30, 1983
PROVIDENT MARKETING CORPORATION
August 13, 1974 - January 14, 1977
PLA SECURITIES CORPORATION
September 20, 1971 - August 23, 1974
WASHINGTON NATIONAL EQUITY COMPANY
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
Series 1
Date: 9/14/1971
Registered Representative ExaminationCurrent Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
