Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Whitney Little is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since 1988. James has been a registered representative with the firm since 2023. Prior to joining Merrill Lynch, James worked at Morgan Stanley. James has a strong track record of success in the financial services industry and is committed to providing his clients with personalized financial advice.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
03/02/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FLORHAM PARK NJ)
NY
06/11/2014 - 07/23/2021
MORGAN STANLEY (New York NY)
NY
04/25/2011 - 06/18/2012
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
09/22/2008 - 07/16/2010
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/14/2008 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
07/17/2006 - 07/10/2007
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
01/08/2004 - 04/04/2005
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NY
04/15/1985 - 01/28/2004
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
06/01/2000 - 01/13/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
09/24/1982 - 04/24/1985
E. F. HUTTON & COMPANY INC
BOTH
Issued 08/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/15/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/15/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/24/2004
Series 24 - General Securities Principal Examination
BC
Issued 11/13/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/15/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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