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David Michael Little

City National Rochdale

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About David Michael Little

David Michael Little is a financial advisor at City National Rochdale, working out of the Limerick, PA office. David has been working in the financial services industry since 1998 and is a Certified Financial Planner. David is registered to offer securities and advisory services in California, Delaware, District of Columbia, Kentucky, Maryland, New Jersey, New York, Pennsylvania, and West Virginia.

Firm Information

David Little is currently registered with City National Rochdale. City National Rochdale is an investment advisor with over $50 billion in assets under management. They offer a variety of services, including portfolio management for individuals, businesses, investment companies, and pooled investment vehicles. They also provide selection of other advisors and have a wrap fee program. They are registered with the SEC and have offices in New York, NY.
City National Rochdale

400 PARK AVENUE

NEW YORK, NY 10022

$68.18B

Assets Under Management

Not reported

Total Clients

113

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Little’s Registration & Firm History

PA

02/02/2024 - Present

City National Rochdale (Limerick PA)

PA

12/15/2003 - 04/19/2016

PERSHING LLC (KING OF PRUSSIA PA)

PA

09/10/1999 - 12/31/2005

LOCKWOOD FINANCIAL SERVICES, INC. (MALVERN PA)

MO

01/21/1999 - 09/03/1999

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

PA

03/09/1998 - 01/01/1999

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

IA

Issued 11/02/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/26/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/11/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Michael Little.
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