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David Michael Little

Rbc Rochdale, LLC

Limerick, PA

New York, NY

Royersford, PA

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Current Employers
Rbc Rochdale, Llc

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-02-05
DE RA APPROVED 2024-02-02
PA RA APPROVED 2024-02-02
CA RA APPROVED 2016-04-27
  • NJ RA
    APPROVED
    Since 2024-02-05
  • DE RA
    APPROVED
    Since 2024-02-02
  • PA RA
    APPROVED
    Since 2024-02-02
  • CA RA
    APPROVED
    Since 2016-04-27

Branch Locations

315 W Ridge Pike, Limerick, PA 19468 • United States

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Royersford, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cnr Securities, Llc Limerick PA 04/2016 Present
  • 04/2016 → Present
    Cnr Securities, Llc
    Limerick, PA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-02
S63 Uniform Securities Agent State Law Examination 1998-02-26
  • S65 Uniform Investment Adviser Law Examination
    1999-11-02
  • S63 Uniform Securities Agent State Law Examination
    1998-02-26
Designations

View on SEC IAPD

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THRIVENT INVESTMENT MANAGEMENT INC. · LIMERICK, PA
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KEY INVESTMENT SERVICES LLC · LIMERICK, PA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROYERSFORD, PA
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