Robert Harold Little

CRD 5409487 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Westlake Village, CA

IA RegisteredBroker

Also appears in the source record as: Rob Little; Robert H Little; Robert Harold Little II; Robert Little

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 7TOSeries 79TOSIESeries 7Series 65Series 63
Registered states (1): California
Years in the industry (source record): 15
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Westlake Village, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Westlake Village, CA · BC capacity

start not retrieved → present
Bofa Securities, Inc.
Los Angeles, CA · BC capacity

Aug 24, 2021 → May 29, 2026
Castleoak Securities, LP
Los Angeles, CA · BC capacity

Aug 15, 2018 → Jan 25, 2019
Wells Fargo Securities, LLC
El Segundo, CA · BC capacity

Jun 24, 2013 → Apr 18, 2018
Pierpont Securities LLC
Los Angeles, CA · BC capacity

Mar 1, 2013 → Jun 14, 2013
Cortview Capital Securities LLC
New York, NY · BC capacity

May 7, 2012 → Mar 7, 2013
Banc Of America Securities LLC
New York, NY · BC capacity

Sep 14, 2009 → Nov 1, 2010
Goldman, Sachs & Co.
New York, NY · BC capacity

Oct 30, 2007 → Sep 21, 2009

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5409487 ↗ FINRA BrokerCheck record for CRD 5409487 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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