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RL

Robert H. Little

BOFA SECURITIES
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 5409487
RL

Professional summary

Robert Harold Little II, who also goes by Rob Little, Robert H Little, Robert Harold Little II, Robert Harold Little, Robert Little, is a registered financial professional currently at BOFA SECURITIES, INC. located in Los Angeles, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Little | Robert H Little | Robert Harold Little Ii | Robert Harold Little | Robert 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 Robert Harold Little II'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 24, 2021 - Present

BOFA SECURITIES, INC.

Office #1: 2049 Century Park E Gbam - Global Corporate Investment Banking, Los Angeles, CA 90067
RIA
BD
CRD#: 283942
Los Angeles, CA
Past

August 15, 2018 - January 25, 2019

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
LOS ANGELES, CA
Past

June 24, 2013 - April 18, 2018

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
EL SEGUNDO, CA
Past

March 1, 2013 - June 14, 2013

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
LOS ANGELES, CA
Past

May 7, 2012 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

November 1, 2010 - December 15, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 14, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

October 30, 2007 - September 21, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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".
BS
BOFA SECURITIES, INC.
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.

CRD#: 283942 / SEC#: 801-112640, 8-69787

RIA
Registered Investment Advisory firm - SEC (3/29/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

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
California
(10/6/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/24/2021
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: 10/29/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BOFA SECURITIES, INC.
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.

CRD#: 283942 / SEC#: 801-112640, 8-69787

RIA
Registered Investment Advisory firm - SEC (3/29/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(646) 743-2734
Established
Delaware since 09/01/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
317

SEC notice filing (2 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BOFA SECURITIES, INC. RESEARCH SERVICES (3/24/2025)

Direct owners and executive officers

NamePositionCRD#
NB HOLDINGS CORPORATIONSOLE STOCKHOLDER
BHATIA, KASHYAP PCHIEF COMPLIANCE OFFICER / BROKER DEALER6110368
CHEPUCAVAGE, LAURA PDIRECTOR, STATE DESIGNATED PRINCIPAL4672504
GADKARI, SARANG RAJANDIRECTOR2522409
MCQUEEN, MATTHEW CDIRECTOR4204052
MOONEY, SARA RATHBONECHIEF FINANCIAL OFFICER7616382
RAE, GLEN ALEXANDERCHIEF LEGAL OFFICER6300829
SANTANNA, VINCENT C.CHIEF OPERATIONS OFFICER & FINOP5290525
STAGG, JENNIFER CCHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER2597167
ZUBERI, SOOFIAN J JDIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL2372292

Disclosures

Regulatory Event69

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

BOFA SECURITIES, INC.

CRD#: 283942Los Angeles, CA 90067

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