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THOMAS JAY LITTLE
THOMAS J LITTLE
CRD#: 2706513
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1604 Hewitt Avenue
Suite 601
EVERETT, WA 98201
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2015 (18 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Alaska 4/17/2015

B
Mississippi 1/6/2021

B
Arizona 4/17/2015

B
Montana 4/17/2015

B
Arkansas 1/14/2022

B
Nevada 4/17/2015

B
California 4/17/2015

B
New York 4/17/2015

B
Colorado 7/27/2017

B
Ohio 8/25/2023

B
Florida 4/17/2015

B
Oklahoma 9/9/2020

B
Hawaii 3/9/2018

B
Oregon 4/17/2015

B
Idaho 4/17/2015

B
South Dakota 9/9/2019

B
Illinois 10/27/2021

B
Tennessee 11/12/2024

B
Indiana 1/3/2020

B
Texas 4/17/2015

B
Iowa 4/17/2015

IA
Texas 4/17/2015

B
Kansas 2/18/2016

B
Utah 4/17/2015

B
Maine 9/12/2017

B
Virginia 1/17/2025

B
Michigan 5/14/2015

B
Washington 4/17/2015

B
Minnesota 9/28/2017

IA
Washington 4/17/2015

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1604 Hewitt Avenue Suite 601, EVERETT, WA 98201
Camino Island, WA
Registered with this firm since 4/17/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1604 Hewitt Avenue Suite 601, EVERETT, WA 98201
Camino Island, WA
Registered with this firm since 4/17/2015

Previous Registration(s)
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IA
07/09/1996 - 04/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EVERETT, WA
B
05/09/1996 - 04/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EVERETT, WA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.