Carl R. Easley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carl Ray Easley, who also goes by Cal Easley, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1982. Carl had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2020 - February 26, 2024
EASLEY INVESTMENT CONSULTANTS, INC.
October 29, 2003 - April 21, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 28, 2003 - April 21, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 1, 2003 - November 13, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 13, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 11, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 19, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 21, 1982 - July 14, 1993
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
EASLEY INVESTMENT CONSULTANTS, INC.
CRD#: 307258 / SEC#: 801-118212
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 11/17/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EASLEY INVESTMENT CONSULTANTS, INC.
CRD#: 307258 / SEC#: 801-118212
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 816 |
| AUM (Assets Under Management) | $ 198,293,849 |
Red Flags
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