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ML

Melissa A. Little

CETERA INVESTMENT SERVICES
El Segundo, CA 90245
CRD#: 4930777
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ML
Melissa A LittleCETERA INVESTMENT SERVICES

Professional summary

Melissa A Little, who also goes by Melissa Little Irvine, Melissa Little Irvine, Melissa A Little, Mel Little, Melissa Alliston Little, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Melissa is registered as a RR (Registered Representative) and started their career in finance in 2006. Melissa has worked at 14 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melissa Little Irvine | Melissa Little Irvine | Melissa A Little | Mel Little | Melissa Alliston 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Melissa A 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

June 3, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 15340
El Segundo, CA
Current

June 3, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
El Segundo, CA
Current

June 3, 2026 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10358
El Segundo, CA
Current

June 3, 2026 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10299
El Segundo, CA
Past

June 29, 2023 - August 25, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
PINE, CO
Past

February 22, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
PINE, CO
Past

February 22, 2019 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
San Diego, CA
Past

February 22, 2019 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

February 22, 2019 - August 25, 2023

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

February 22, 2019 - August 25, 2023

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

February 22, 2019 - August 25, 2023

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

February 22, 2019 - August 25, 2023

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 22, 2018 - January 23, 2019

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
ENGLEWOOD, CO
Past

June 21, 2018 - January 23, 2019

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
ENGLEWOOD, CO
Past

March 30, 2017 - April 27, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
DENVER, CO
Past

March 30, 2017 - April 27, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
DENVER, CO
Past

August 10, 2016 - October 13, 2016

WADDELL & REED

RIA
CRD#: 866
BOULDER, CO
Past

August 8, 2016 - October 13, 2016

WADDELL & REED

BD
CRD#: 866
BOULDER, CO
Past

March 25, 2016 - May 24, 2016

TRIAD ADVISORS LLC

BD
CRD#: 25803
Louisville, CO
Past

February 8, 2011 - October 6, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

February 7, 2011 - October 6, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

July 2, 2007 - October 11, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOSTON, MA
Past

June 22, 2007 - October 11, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
BOSTON, MA
Past

January 31, 2007 - May 29, 2007

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
ATLANTA, GA
Past

January 16, 2007 - May 29, 2007

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
ATLANTA, GA
Past

November 9, 2006 - November 30, 2006

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
ATLANTA, GA
Past

March 28, 2006 - November 30, 2006

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/23/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
DEL VALLE, ELISA ANNE-MARIEVICE PRESIDENT4807911
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CHIEF COMPLIANCE OFFICER5059176
MERRILL, GARRETT JAMESVICE PRESIDENT4306692
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
VOGEL, RICHARD CHARLESVICE PRESIDENT4024999

Regulatory assets under management

Total Number of Accounts81,652
AUM (Assets Under Management)$ 21,989,347,265

Disclosures

Regulatory Event15
Civil Event1
Arbitration7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2023
Cover Page
Report

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

CETERA ADVISORS LLC

CRD#: 10299El Segundo, CA 90245

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