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Robert Harold Little

Bofa Securities, Inc.

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About Robert Harold Little

Robert Little is a financial advisor who is registered with the state of California and FINRA. Robert has over 10 years of experience in the financial services industry. Robert is currently employed with Bofa Securities, Inc. Previously, Robert was employed at CASTLEOAK SECURITIES, LP, WELLS FARGO SECURITIES, LLC, PIERPONT SECURITIES LLC, CORTVIEW CAPITAL SECURITIES LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA SECURITIES LLC, and GOLDMAN, SACHS & CO. Robert has passed the following exams: Series 7, Series 63, Series 79TO, and SIE.

Firm Information

Robert Little is currently registered with Bofa Securities, Inc.. Bofa Securities, Inc. is a corporation formed in September 2015 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Bofa Securities provides research-related services and publishes periodicals. The firm has 314 registered representatives.
Bofa Securities, Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

Not reported

Assets Under Management

Not reported

Total Clients

1,401

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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research-related services

Research-related services

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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other

Negotiated fees for research-related services

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Robert Little’s Registration & Firm History

CA

08/24/2021 - Present

Bofa Securities, Inc. (LOS ANGELES CA)

CA

08/15/2018 - 01/25/2019

CASTLEOAK SECURITIES, LP (LOS ANGELES CA)

CA

06/24/2013 - 04/18/2018

WELLS FARGO SECURITIES, LLC (EL SEGUNDO CA)

CA

03/01/2013 - 06/14/2013

PIERPONT SECURITIES LLC (LOS ANGELES CA)

NY

05/07/2012 - 03/07/2013

CORTVIEW CAPITAL SECURITIES LLC (NEW YORK NY)

NY

11/01/2010 - 12/15/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

09/14/2009 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

10/30/2007 - 09/21/2009

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/02/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/24/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert Harold Little.
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