John R. Nix

LITTLE RIVER CAPITAL

Indian Springs, AL 35124

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CRD#: 5414111

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"?

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

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.

CRD#: 18456

BIRMINGHAM, AL

Past

May 16, 2013 - June 7, 2013

BBVA SECURITIES INC.

CRD#: 27060

BIRMINGHAM, AL

Past

March 17, 2011 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

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

CRD#: 4161

MEMPHIS, TN

Past

March 18, 2010 - April 29, 2010

CARTY, HARDING & HEARN, INC.

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

CRD#: 4161

BIRMINGHAM, AL

State Registrations and Notice Filings

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

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
(1/3/2020)

California
(5/6/2021)

Illinois
(7/14/2021)

Missouri
(6/11/2021)

New York
(9/3/2019)

North Carolina
(8/6/2021)

Ohio
(2/7/2024)

Virginia
(6/8/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/24/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LITTLE RIVER CAPITAL, LLC

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

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

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NIX, JOHN R JR	CEO,CCO	5414111
SMITH, LANCE MARTIN	PASSIVE OWNER	5606675
LENART, BRIAN DOUGLAS	FINOP, PFO/POO	736107

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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Advisor Monitoring

Firm Stability Insights

John R. Nix

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John R Nix JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

CARTY, HARDING & HEARN, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2009

Series 24

Date: 9/10/2013

FINRA

Current Firm

LITTLE RIVER CAPITAL, LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LITTLE RIVER CAPITAL, LLC

TRUST BUT VERIFY

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