Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Little has been in the financial services industry for over 20 years and has extensive experience working with individuals, families, and businesses. James is currently a registered representative at Osaic Wealth, Inc., a firm that provides a wide range of financial advisory services, including financial planning, investment management, and retirement planning.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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AZ
06/13/2022 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
GA
06/13/2022 - 08/23/2024
TRIAD ADVISORS LLC (ATLANTA GA)
NE
06/13/2022 - 06/14/2024
SECURITIES AMERICA, INC. (LAVISTA NE)
MN
06/13/2022 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
06/13/2022 - 11/03/2023
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
06/09/2022 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
FL
03/17/2020 - 05/31/2022
TRADESTATION SECURITIES, INC. (PLANTATION FL)
FL
03/19/2018 - 03/02/2020
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
FL
09/08/2014 - 03/21/2018
INVESTACORP, INC. (MIAMI FL)
FL
08/02/2013 - 09/05/2014
USAA FINANCIAL ADVISORS, INC. (TAMPA FL)
FL
03/10/2011 - 03/05/2012
AMERITAS INVESTMENT CORP. (BOCA RATON FL)
TX
05/11/2010 - 11/15/2010
LITTLE AND COMPANY (MIDLAND TX)
FL
08/05/2008 - 02/27/2009
INVESTACORP, INC. (FT. LAUDERDALE FL)
FL
03/30/2007 - 08/06/2008
RAYMOND JAMES FINANCIAL SERVICES, INC. (COOPER CITY FL)
FL
10/27/2004 - 10/23/2006
AXA ADVISORS, LLC (FT. LAUDERDALE FL)
FL
02/23/2004 - 09/17/2004
KOVACK SECURITIES INC. (FT. LAUDERDALE FL)
NY
05/16/2002 - 07/08/2002
NEW ENGLAND SECURITIES (NEW YORK NY)
IL
01/29/2002 - 05/14/2002
HORACE MANN INVESTORS INC (SPRINGFIELD IL)
FL
11/21/2000 - 06/22/2001
NOWTRADE, CORP. (ST. PETERSBURG FL)
FL
12/13/1999 - 06/19/2000
INTERSECURITIES, INC. (ST. PETERSBURG FL)
MD
06/12/1998 - 10/07/1998
DECLARATION DISTRIBUTORS, INC. (BALTIMORE MD)
TX
03/26/1996 - 04/06/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
06/27/1994 - 01/29/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
03/06/1992 - 02/23/1994
LITTLE AND COMPANY (MIDLAND TX)
IA
Issued 09/16/2013
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/03/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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