Frank W. Little

GRANT WILLIAMS L.P.

Philadelphia, PA 19103

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CRD#: 4229244

Professional summary

Frank Walter Little is a registered financial professional currently at GRANT WILLIAMS L.P. located in Philadelphia, Pennsylvania.

Frank is registered as a RR (Registered Representative) and started their career in finance in 2000. Frank has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Frank Walter 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

April 24, 2023 - Present

GRANT WILLIAMS L.P.

Office #1: 1650 Market Street 53rd Floor, Philadelphia, PA 19103

CRD#: 45961

Philadelphia, PA

Past

April 4, 2019 - December 17, 2021

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

CRD#: 152920

NEW YORK, NY

Past

January 3, 2019 - April 4, 2019

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

February 9, 2015 - December 31, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464

DENVER, CO

Past

January 15, 2009 - October 24, 2014

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

San Francisco, CA

Past

February 14, 2006 - July 31, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

February 13, 2006 - July 31, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 23, 2002 - February 14, 2006

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

September 14, 2000 - March 6, 2002

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/24/2023)

Pennsylvania
(4/24/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/2/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/9/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GRANT WILLIAMS L.P.

GRANT WILLIAMS L.P. | GWLP

CRD#: 45961 / SEC#: , 8-51249

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1650 Market Street 53rd Floor, Philadelphia, PA 19103

Mailing Address

1650 Market Street 53rd Floor, Philadelphia, PA 19103

Phone number

(215) 432-7579

Established

Pennsylvania since 06/26/1998

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (20 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
PORTFOLIO SOLUTIONS LLC	SHAREHOLDER
GRANT, STEVEN TAYLOR	PRESIDENT, CEO, CCO, CFO	826826
GRW, INC.	GENERAL PARTNER

Disclosures

Regulatory Event

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.

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Frank W. Little

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Walter Little's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

ALPS DISTRIBUTORS, INC.

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

NATIXIS DISTRIBUTION, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

NEUBERGER BERMAN MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2003

Series 63

Date: 11/9/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2001

Series 6

Date: 9/13/2000

FINRA

Current Firm

GRANT WILLIAMS L.P.

Contact information

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GRANT WILLIAMS L.P.

TRUST BUT VERIFY

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