Glenn Little
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Glenn Little, who also goes by Glenn (iii) Little, Glenn Little, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1980. Glenn had worked at 9 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2008 - November 7, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 11, 2008 - October 10, 2008
QUEST CAPITAL STRATEGIES, INC.
August 26, 2005 - August 15, 2006
KOVACK SECURITIES INC.
August 26, 2005 - November 1, 2007
KOVACK ADVISORS, INC.
February 5, 2003 - September 12, 2007
KOVACK SECURITIES INC.
March 27, 1997 - December 31, 2002
IFG NETWORK SECURITIES, INC.
February 3, 1995 - April 14, 1997
OSAIC FS, INC.
January 4, 1993 - December 31, 1994
IFG NETWORK SECURITIES, INC.
August 10, 1990 - December 31, 1992
PLANNED INVESTMENTS INC.
March 2, 1983 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
March 13, 1980 - April 5, 1983
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/7/1980
Registered Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
