David L. Little

KEEL POINT

Huntsville, AL 35801

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CRD#: 5061838

Professional summary

David L Little is a registered financial advisor currently at KEEL POINT, LLC located in Huntsville, Alabama and KEEL POINT CAPITAL, LLC located in Huntsville, Alabama.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Huntsville City Council District 2, 308 Fountain Cir SW, Huntsville, AL 35801, non-investment related, started 11/2022, 15 hours a month, 1 hour during securities trading hours, City Council Member, legislative branch of the Huntsville city government.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David L 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

August 31, 2011 - Present

KEEL POINT, LLC

Office #1: 100 Church Street Suite 500, Huntsville, AL 35801

RIA

CRD#: 127902

Huntsville, AL

Current

August 31, 2011 - Present

KEEL POINT CAPITAL, LLC

Office #1: 100 Church Street Suite 500, Huntsville, AL 35801

CRD#: 6769

Huntsville, AL

Past

March 13, 2009 - September 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HUNTSVILLE, AL

Past

March 13, 2009 - September 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HUNTSVILLE, AL

Past

April 12, 2006 - April 2, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HUNTSVILLE, AL

Past

January 20, 2006 - April 2, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HUNTSVILLE, 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".

KEEL POINT, LLC

BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC

CRD#: 127902 / SEC#: 801-62249

RIA

Registered Investment Advisory firm - (8/1/2003 Approved)

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.

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

Alabama
(8/31/2011)

IAR

Alabama
(8/31/2011)

Arizona
(7/10/2019)

IAR

Arizona
(7/11/2019)

District of Columbia
(1/29/2020)

Florida
(4/24/2020)

IAR

Illinois
(3/13/2018)

Illinois
(1/29/2020)

Pennsylvania
(2/18/2020)

Tennessee
(8/31/2011)

Washington
(1/15/2015)

IAR

Washington
(8/21/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/3/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/27/2006

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: 1/19/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KEEL POINT, LLC

BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC

CRD#: 127902 / SEC#: 801-62249

RIA

Registered Investment Advisory firm - (8/1/2003 Approved)

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Contact information

Main Address

100 Church Street Suite 500, Huntsville, AL 35801

Mailing Address

Phone number

(256) 704-5111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEEL POINT ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (5/29/2025)

KEEL POINT BROCHURE FORM ADV 2A (5/29/2025)

Regulatory assets under management

Total Number of Accounts	5,626
AUM (Assets Under Management)	$ 3,464,607,203

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/30/2025	Cover Page	Report
01/26/2024	Cover Page	Report
10/25/2022	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.

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Firm Stability Insights

David L. Little

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David L Little's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEEL POINT CAPITAL, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

KEEL POINT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/3/2006

Series 63

Date: 2/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/19/2006

FINRA

Current Firm

KEEL POINT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KEEL POINT, LLC

TRUST BUT VERIFY

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