Individual Firm
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MICHAEL J LITTLE JR
MICHAEL J. LITTLE JR., MICHAEL JOSEPH LITTLE JR, MICHAEL J LITTLE JR, MICHAEL JOSEPH LITTLE JR JR.
CRD#: 4091037
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 400 S RAMPART BLVD
LAS VEGAS, NV 89145
LAS VEGAS, NV 89145
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4/24/2009
Customer Dispute
Denied
State Registrations
B
Alabama 3/4/2025
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Nevada 10/23/2009
B
Alaska 5/31/2024
B
New Hampshire 10/23/2009
B
Arizona 10/23/2009
B
New Jersey 10/23/2009
B
Arkansas 6/30/2014
B
New Mexico 7/16/2018
B
California 10/23/2009
B
New York 10/23/2009
B
Colorado 8/2/2010
B
North Carolina 6/9/2010
B
Delaware 8/19/2020
B
Ohio 8/5/2010
B
District of Columbia 4/16/2020
B
Oklahoma 10/23/2009
B
Florida 10/23/2009
B
Oregon 10/23/2009
B
Georgia 10/24/2022
B
Pennsylvania 12/5/2018
B
Hawaii 1/3/2022
B
Puerto Rico 1/4/2022
B
Idaho 6/2/2023
B
South Carolina 1/8/2015
B
Illinois 5/5/2014
B
Tennessee 2/23/2017
B
Kansas 9/10/2015
B
Texas 10/23/2009
B
Maryland 5/1/2018
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Texas 11/1/2012
B
Minnesota 10/23/2009
B
Utah 5/2/2017
B
Mississippi 8/24/2021
B
Virginia 10/23/2009
B
Missouri 9/18/2024
B
Washington 10/23/2009
B
Montana 10/23/2009
B
Wisconsin 10/23/2009
B
Nevada 10/23/2009
B
Wyoming 3/22/2022
SRO Registrations
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Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/24/2006 - 10/23/2009 | LAS VEGAS, NV | |
B | 03/24/2006 - 10/23/2009 | LAS VEGAS, NV | |
IA | 09/05/2002 - 03/27/2006 | LAS VEGAS, NV | |
B | 02/15/2000 - 03/27/2006 | PURCHASE, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.