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ML

Melissa A. Little

Some features on this profile are disabled
CRD#: 4930777
ML

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.

Melissa Alliston Little, who also goes by Melissa Little Irvine, Melissa Little Irvine, Melissa A Little, Mel Little, was a registered financial professional .

Melissa is a previously registered financial professional and started their career in finance in 2006. Melissa had 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

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)

The CRS(Customer Relationship Summary) document is not provided.

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

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

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

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

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
PREMIUM
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
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 INVESTMENT ADVISERS LLC

CRD#: 105644

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