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JN

John R. Nix

LITTLE RIVER CAPITAL
Indian Springs, AL 35124
Some features on this profile are disabled
CRD#: 5414111
JN

Professional summary

John R Nix JR, who also goes by John R Nix, John Richard Nix Jr, is a registered financial professional currently at LITTLE RIVER CAPITAL, LLC located in Indian Springs, Alabama.

John is registered as a RR (Registered Representative) and started their career in finance in 2009. John has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John R Nix | John Richard Nix Jr

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 John R Nix JR'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 29, 2017 - Present

LITTLE RIVER CAPITAL, LLC

Office #1: 216 Cahaba Oaks Trail, Indian Springs, AL 35124
BD
CRD#: 118917
Indian Springs, AL
Past

January 3, 2014 - September 28, 2015

INTL ADVISORY CONSULTANTS INC.

RIA
CRD#: 130888
BIRMINGHAM, AL
Past

June 12, 2013 - September 28, 2015

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

May 16, 2013 - June 7, 2013

BBVA SECURITIES INC.

BD
CRD#: 27060
BIRMINGHAM, AL
Past

March 17, 2011 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

August 24, 2010 - February 22, 2011

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
MEMPHIS, TN
Past

August 24, 2010 - February 22, 2011

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

March 18, 2010 - April 29, 2010

CARTY, HARDING & HEARN, INC.

BD
CRD#: 7001
MEMPHIS, TN
Past

April 27, 2009 - October 8, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
BIRMINGHAM, AL
Past

March 20, 2009 - October 8, 2009

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
BIRMINGHAM, AL

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
Alabama
(1/3/2020)
RR
California
(5/6/2021)
RR
Illinois
(7/14/2021)
RR
Missouri
(6/11/2021)
RR
New York
(9/3/2019)
RR
North Carolina
(8/6/2021)
RR
Ohio
(2/7/2024)
RR
Virginia
(6/8/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/10/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LR
LITTLE RIVER CAPITAL, LLC
CHICAGO ANALYTIC TRADING COMPANY, LLC | LITTLE RIVER CAPITAL, LLC

CRD#: 118917 / SEC#: , 8-53698

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
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Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4553 Pine Tree Hill Road Suite 126, Vestavia Hills, AL 35243
Mailing Address
216 Cahaba Oaks Trail, Indian Springs, AL 35124
Phone number
(251) 379-7228
Established
Delaware since 11/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NIX, JOHN R JRCEO,CCO5414111
SMITH, LANCE MARTINOWNER5606675
7676 CAPITAL PARTNERS, LLCOWNER
LENART, BRIAN DOUGLASFINOP, PFO/POO736107

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

LITTLE RIVER CAPITAL, LLC

CRD#: 118917Indian Springs, AL 35124

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