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Robert Allen Little

Principal Securities, Inc.

Birmingham, AL

Birmingham, AL

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2018-04-05
  • AL RA
    APPROVED
    Since 2018-04-05

Branch Locations

3500 Blue Lake Dr Ste 280, Birmingham, AL 35243 • United States

Birmingham, AL • 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
Hornor Townsend & Kent Inc Horsham PA 03/2016 10/2017
Penn Mutual Birmingham AL 02/2016 10/2017
Principal Life Insurance Birmingham AL 10/2017 Present
Principal Securities Birmingham AL 10/2017 Present
  • 03/2016 → 10/2017
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 02/2016 → 10/2017
    Penn Mutual
    Birmingham, AL
  • 10/2017 → Present
    Principal Life Insurance
    Birmingham, AL
  • 10/2017 → Present
    Principal Securities
    Birmingham, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-04
S63 Uniform Securities Agent State Law Examination 2012-11-19
  • S65 Uniform Investment Adviser Law Examination
    2018-04-04
  • S63 Uniform Securities Agent State Law Examination
    2012-11-19
Other Names
  • Allen Robert Little
  • Allen Little

View on SEC IAPD

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Other Investors

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Luke Banks
David Mathews
MARILYN ANN EDDINGS
JAMES IRA MCCORMICK
MELANIE SHIRLEY DICKINSON
BRENNA ROSE PRITCHETT

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

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