Richard D. Little

SERENITY INVESTMENT ADVISORS

Chicago, IL 60604

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CRD#: 5698720

Professional summary

Richard David Little, CFP® is a registered financial advisor currently at SERENITY INVESTMENT ADVISORS located in Chicago, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Richard has worked at 3 firms and has passed the Series 66, 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.

INDEPENDENT INSURANCE AGENT - NOT INVESTMENT RELATED - SAME AS RIA OFFICE - LIFE INSURANCE - HOURS SIMULTANEOUS WITH IAR BUSINESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard David 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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

May 22, 2020 - Present

SERENITY INVESTMENT ADVISORS

Office #1: 333 S. Wabash Ave. Suite 2700, Chicago, IL 60604

RIA

CRD#: 307924

Chicago, IL

Past

March 31, 2015 - June 16, 2020

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

Chicago, IL

Past

October 11, 2010 - March 27, 2015

EDWARD JONES

RIA

CRD#: 250

WILMETTE, IL

Past

September 27, 2010 - March 27, 2015

EDWARD JONES

CRD#: 250

WILMETTE, IL

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".

SERENITY INVESTMENT ADVISORS

ORGANIZE, PROTECT AND GROW YOUR WEALTH, LLC | SERENITY WEALTH MANAGEMENT | SERENITY INVESTMENT ADVISORS LLC | SERENITY INVESTMENT ADVISORS

CRD#: 307924 / SEC#: 801-123727

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/22/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/8/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/27/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2010

General Securities Representative Examination

Current Firm

SERENITY INVESTMENT ADVISORS

ORGANIZE, PROTECT AND GROW YOUR WEALTH, LLC | SERENITY WEALTH MANAGEMENT | SERENITY INVESTMENT ADVISORS LLC | SERENITY INVESTMENT ADVISORS

CRD#: 307924 / SEC#: 801-123727

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2022 Terminated)

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Contact information

Main Address

333 S. Wabash Ave. Suite 2700, Chicago, IL 60604

Mailing Address

Phone number

(312) 734-1415

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SERENITY INVESTMENT ADVISORS BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	396
AUM (Assets Under Management)	$ 375,958,274

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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Richard D. Little

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SERENITY INVESTMENT ADVISORS

KINGSVIEW WEALTH MANAGEMENT, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SERENITY INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2010

SIE

Date: 3/27/2015

Series 7

Date: 9/24/2010

Current Firm

SERENITY INVESTMENT ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SERENITY INVESTMENT ADVISORS

TRUST BUT VERIFY

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