Carl F. Ortale
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 Frank Ortale was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1985. Carl had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2000 - January 26, 2005
EAGLE ONE INVESTMENTS, LLC
December 22, 1990 - April 6, 2000
D.R. HANCOCK & COMPANY, INC.
September 4, 1990 - December 5, 1990
WELLS FARGO CLEARING SERVICES, LLC
April 20, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 14, 1988 - May 4, 1989
LEHMAN BROTHERS INC.
June 21, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
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
Current Firm
EAGLE ONE INVESTMENTS, LLC
CRD#: 45254 / SEC#: , 8-51002
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRUMBOLTZ, BRENT THOMAS | DIRECTOR | 2219848 |
| PAULSON, DAVID CLAIRE | CEO/CFO/DIRECTOR | 1430385 |
| VANDEWEERD, ALAN LEE | DIRECTOR | 829161 |
| ALEXANDER, THOMAS EUGENE | DIRECTOR | 1176667 |
| ELSE, JOHN JEFFREY | MEMBER | 1948228 |
| FARRELL, PATRICK STUART | MEMBER | 872923 |
| HAGERTY, MICHAEL CHARLES | DIRECTOR | 2053557 |
| BAGBY, DOUGLAS BLAINE | MEMBER | 1335894 |
| COLLETT, MARTY MARIE | COO | 4457693 |
| GOODWIN, MATTHEW EVERETTE | PRESIDENT/CCO | 4447880 |
Disclosures
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
