RL
Robert A. Little
PRINCIPAL SECURITIES
BIRMINGHAM, AL
Some features on this profile are disabled
CRD#: 4846123
RL
Professional summary
Robert Allen Little, who also goes by Allen Robert Little, Allen Little, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Birmingham, Alabama.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 6TO, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allen Robert Little | Allen Little
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Allen Little's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Allen Little's 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®
NoneExperience
Current
April 5, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 3500 Blue Lake Dr Ste 280, Birmingham, AL 35243RIA
BD
CRD#: 1137
BIRMINGHAM, AL
Current
October 18, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3500 Blue Lake Dr Ste 280, Birmingham, AL 35243RIA
BD
CRD#: 1137
Birmingham, AL
Past
March 30, 2016 - September 29, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
BIRMINGHAM, AL
Past
May 29, 2014 - January 12, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
BIRMINGHAM, AL
Past
October 19, 2012 - May 5, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BIRMINGHAM, AL
Past
March 3, 2011 - October 5, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BIRMINGHAM, AL
Past
September 16, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
BIRMINGHAM, AL
Past
September 16, 2004 - November 14, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BIRMINGHAM, AL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(10/18/2017)
IAR
Alabama(4/5/2018)
RR
Alaska(5/23/2023)
RR
Arizona(5/23/2023)
RR
Arkansas(5/23/2023)
RR
California(5/23/2023)
RR
Colorado(5/23/2023)
RR
Connecticut(5/23/2023)
RR
Delaware(5/23/2023)
RR
District of Columbia(5/23/2023)
RR
Florida(5/23/2023)
RR
Georgia(5/23/2023)
RR
Hawaii(5/23/2023)
RR
Idaho(5/23/2023)
RR
Illinois(5/23/2023)
RR
Indiana(5/23/2023)
RR
Iowa(5/23/2023)
RR
Kansas(5/23/2023)
RR
Kentucky(5/23/2023)
RR
Louisiana(5/23/2023)
RR
Maine(5/23/2023)
RR
Maryland(5/23/2023)
RR
Massachusetts(5/23/2023)
RR
Michigan(5/23/2023)
RR
Minnesota(5/23/2023)
RR
Mississippi(5/23/2023)
RR
Missouri(5/23/2023)
RR
Montana(5/23/2023)
RR
Nebraska(5/23/2023)
RR
Nevada(5/23/2023)
RR
New Hampshire(5/23/2023)
RR
New Jersey(5/23/2023)
RR
New Mexico(5/23/2023)
RR
New York(5/23/2023)
RR
North Carolina(5/23/2023)
RR
North Dakota(5/23/2023)
RR
Ohio(5/24/2023)
RR
Oklahoma(5/23/2023)
RR
Oregon(5/23/2023)
RR
Pennsylvania(5/23/2023)
RR
Rhode Island(5/23/2023)
RR
South Carolina(5/23/2023)
RR
South Dakota(5/23/2023)
RR
Texas(5/23/2023)
IAR
Texas(5/24/2023)
RR
Utah(5/23/2023)
RR
Vermont(5/23/2023)
RR
Virginia(5/23/2023)
RR
Washington(5/23/2023)
RR
West Virginia(5/23/2023)
RR
Wisconsin(5/23/2023)
RR
Wyoming(5/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/17/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
