Business Description

As independent financial advisors, we create unbiased customized investment strategies to help build, protect and transfer our client's wealth. We are committed to helping individuals, families and business owners achieve their goals through what is most important to them, their personal values.

General Information

Gender:

Male

CRD#:

2798163

Insurance License#:

A156601

Name of Broker/Dealer:

LPL Financial

Name of Custodial Firm:

LPL Financial

States Licensed in:

Florida, Georgia

States Willing to do Business in:

Florida, Georgia

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

I have been a practicing Financial Planner for 12 years. Please see my web site at www.hleelittle.com for full details.

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

BBA - University of Memphis
MBA - Nova Southeastern University
Business Succession Planning - American College
Financial Retirement Strategy program- Wharton

Services

Investment Types:

Real Estate, Bonds, Stocks, Annuities, Alternative Investments, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Insurance License (Life & Health; Long Term Care; Specify below)

Securities Licenses:

Series 24, Series 7, Series 31, Series 63

Insurance and Annuity Licenses:

Disability, Variable Life, Variable Annuity, Long Term Care, Life, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$250,000

Compensation Methods:

Commissions, Based on Assets

Fee % Based on Assets:

Additional Details on Charges:

We discount our fees as total assets under managemnent when they reach the 1 million dollar mark. Our fee for service includes advice, asset management and financial and retirement planning including a up to date plan for each client.

Prepared By:

H. Lee Little

Most Recent Update:

09/17/2008