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John W Little

Ubs Financial Services Inc.

Alpharetta, GA

Roswell, GA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-12-11
TX RA APPROVED 2023-12-08
  • GA RA
    APPROVED
    Since 2023-12-11
  • TX RA
    APPROVED
    Since 2023-12-08

Branch Locations

8000 Avalon Blvd Suite 925, Alpharetta, GA 30009 • United States

Roswell, GA • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Atlanta GA 11/2014 12/2023
Bank Of America, N.A. Atlanta GA 12/2014 12/2023
Ubs Financial Services Inc. Alpharetta GA 12/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-07
  • S66 Uniform Combined State Law Examination
    2011-04-07
Other Names
  • John Wesley Little
  • John Wesley Little
  • John Wesley Little

View on SEC IAPD

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