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Robert Harold Little

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

Los Angeles, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-08-12
  • CA RA
    APPROVED
    Since 2026-08-12

Branch Locations

2815 Townsgate Rd, Westlake Village, CA 91361 • United States

2049 Century Park E, Los Angeles, CA 90067 • 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
Wells Fargo Securities, Llc El Segundo CA 06/2013 07/2018
Bank Of America, N.A. Los Angeles CA 05/2026 Present
Castleoak Securities, Lp Los Angeles CA 08/2018 01/2019
Bofa Securities, Inc. Los Angeles CA 06/2021 Present
Unemployed Whittier CA 02/2019 05/2019
Bank Of America Los Angeles CA 06/2019 07/2019
Usc Marshall School Of Business- Mba Los Angeles CA 08/2019 05/2021
Bank Of America Corporation Los Angeles CA 06/2020 08/2020
  • 06/2013 → 07/2018
    Wells Fargo Securities, Llc
    El Segundo, CA
  • 05/2026 → Present
    Bank Of America, N.A.
    Los Angeles, CA
  • 08/2018 → 01/2019
    Castleoak Securities, Lp
    Los Angeles, CA
  • 06/2021 → Present
    Bofa Securities, Inc.
    Los Angeles, CA
  • 02/2019 → 05/2019
    Unemployed
    Whittier, CA
  • 06/2019 → 07/2019
    Bank Of America
    Los Angeles, CA
  • 08/2019 → 05/2021
    Usc Marshall School Of Business- Mba
    Los Angeles, CA
  • 06/2020 → 08/2020
    Bank Of America Corporation
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-08-12
S63 Uniform Securities Agent State Law Examination 2021-10-02
  • S65 Uniform Investment Adviser Law Examination
    2026-08-12
  • S63 Uniform Securities Agent State Law Examination
    2021-10-02
Other Names
  • Rob Little
  • Robert H Little
  • Robert Harold Little
  • Robert Little
  • Robert Harold Little

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA
CARMANDALIAN FINANCIAL GROUP, LLC · WESTLAKE VILLAGE, CA

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