Linda W. 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.
Linda Whitley Little was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1972. Linda had worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2006 - December 31, 2014
IC ADVISORY SERVICES, INC.
November 4, 2002 - October 2, 2006
THE INVESTMENT CENTER, INC.
November 1, 2002 - December 31, 2014
THE INVESTMENT CENTER, INC.
January 3, 1997 - November 12, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 3, 1991 - November 12, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 28, 1990 - May 17, 1991
SOUTHEAST BANK BROKERAGE SERVICE, INC.
May 14, 1988 - December 13, 1990
LEHMAN BROTHERS INC.
March 2, 1982 - May 14, 1988
E. F. HUTTON & COMPANY INC
February 24, 1978 - April 5, 1982
MORGAN STANLEY DW INC.
February 24, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
November 26, 1974 - March 27, 1976
BACHE & CO INCORPORATED
November 8, 1974 - November 30, 1974
SHEARSON HAYDEN STONE INC.
November 8, 1972 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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
PC
Date: 8/9/1977
AMEX Put and Call ExamSeries 000
Date: 11/3/1972
General Securities Principal ExaminationSeries 1
Date: 11/3/1972
Registered Representative ExaminationCurrent Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
