Jerry L. 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.
Jerry Lawrence Little was a registered financial advisor .
Jerry is a previously registered financial advisor and started their career in finance in 1978. Jerry had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2015 - February 28, 2025
NEWEDGE SECURITIES, LLC
May 21, 2012 - December 6, 2013
INSPEREX LLC
September 24, 2010 - May 4, 2012
STERN BROTHERS & CO.
December 2, 2008 - April 8, 2010
RBC CAPITAL MARKETS, LLC
November 18, 2008 - April 8, 2010
RBC CAPITAL MARKETS, LLC
April 27, 2007 - May 1, 2008
VINING-SPARKS IBG, LLC
March 1, 2004 - December 14, 2006
RBC CAPITAL MARKETS, LLC
February 27, 2004 - December 14, 2006
RBC CAPITAL MARKETS, LLC
June 2, 1994 - December 31, 2002
WILLIAM R. HOUGH & CO.
June 2, 1994 - February 27, 2004
WILLIAM R. HOUGH & CO.
April 26, 1993 - June 1, 1994
AMUNI FINANCIAL, INC.
July 2, 1991 - February 5, 1993
PORTER, WHITE & COMPANY, INC.
January 15, 1990 - July 5, 1991
TRUIST SECURITIES, INC.
June 13, 1984 - January 3, 1990
ARCH W. ROBERTS & CO.
July 2, 1981 - March 1, 1984
UBS FINANCIAL SERVICES INC.
June 10, 1981 - March 14, 1986
UBS FINANCIAL SERVICES INC.
August 14, 1979 - July 6, 1981
ARCH W. ROBERTS & CO.
September 1, 1978 - August 30, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 5
Date: 11/13/1981
Interest Rate Options ExaminationCurrent Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
