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LH

Leslie J. Hale

CALTON & ASSOCIATES
Fort Smith, AR
Some features on this profile are disabled
CRD#: 2192561
LH

Professional summary

Leslie Jean Hale, who also goes by Leslie Jean Morse, Leslie Jean White, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Fort Smith, Arkansas.

Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Leslie has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Leslie Jean Morse | Leslie Jean White

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Jean Hale's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Leslie Jean Hale's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 17, 2014 - Present

CALTON & ASSOCIATES, INC.

RIA
BD
CRD#: 20999
Fort Smith, AR
Current

June 5, 2014 - Present

CALTON & ASSOCIATES, INC.

RIA
BD
CRD#: 20999
Fort Smith, AR
Past

June 5, 2014 - June 6, 2014

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
TAMPA, FL
Past

July 2, 2008 - June 19, 2014

RIDGEWAY & CONGER, INC.

BD
CRD#: 113055
FORT SMITH, AR
Past

July 1, 2008 - June 19, 2014

RIDGEWAY CONGER ADVISORY SERVICES

RIA
CRD#: 139372
FORT SMITH, AR
Past

January 30, 2008 - July 11, 2008

FIRST INDEPENDENT ADVISORY SERVICES, INC.

RIA
CRD#: 132678
TULSA, OK
Past

October 1, 2007 - July 11, 2008

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

BD
CRD#: 128904
FORT SMITH, AR
Past

January 18, 2007 - August 6, 2007

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
FORT SMITH, AR
Past

August 24, 2005 - March 27, 2006

INTL ADVISORY CONSULTANTS INC.

RIA
CRD#: 130888
FORT SMITH, AR
Past

August 24, 2005 - March 27, 2006

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

March 11, 2005 - August 16, 2005

INTL ADVISORY CONSULTANTS INC.

RIA
CRD#: 130888
BIRMINGHAM, AL
Past

January 15, 2001 - July 18, 2005

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

October 25, 1995 - February 22, 2001

JOHN R. TAYLOR FINANCIAL GROUP, INC.

BD
CRD#: 39312
BIRMINGHAM, AL
Past

June 1, 1993 - September 1, 1995

MERCHANTS INVESTMENT CENTER, INC.

BD
CRD#: 27402

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.

CRD#: 20999 / SEC#: 801-70036, 8-38635

RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)
California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)
Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)
Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)
Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)
Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)
Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)
Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(6/17/2014)
IAR
Arkansas
(6/17/2014)
RR
California
(6/6/2014)
RR
Colorado
(6/6/2014)
RR
Florida
(6/5/2014)
RR
Georgia
(6/12/2014)
RR
Illinois
(6/5/2014)
RR
Indiana
(5/9/2018)
RR
Iowa
(1/13/2020)
RR
Louisiana
(8/6/2014)
RR
Missouri
(6/5/2014)
RR
New Mexico
(1/5/2015)
RR
New York
(1/12/2015)
RR
North Carolina
(8/4/2016)
RR
Oklahoma
(6/18/2014)
RR
South Carolina
(6/5/2014)
RR
Tennessee
(4/27/2023)
RR
Texas
(6/5/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/17/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/17/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.

CRD#: 20999 / SEC#: 801-70036, 8-38635

RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)
California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)
Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)
Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)
Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)
Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)
Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)
Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Florida since 09/17/1987
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
515

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (12/19/2024)
FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM DISCLOSURE BROCHURE (12/19/2024)

Direct owners and executive officers

NamePositionCRD#
CICCATI, RANDALL LEESHAREHOLDER1569353
CICCATI, RANDALL LEECEO / DIRECTOR1569353
SINGH, RAMESHWARDIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES4660047
SINGH, RAMESHWARSHAREHOLDER4660047
CICCATI, JILL MARIESHAREHOLDER
THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUSTSHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE
CALTON, DEREK JAYVICE PRESIDENT - DIRECTOR1192608
CALTON, DWAYNE KENTPRESIDENT - DIRECTOR
CICCATI, ADELINE CARMELATRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST
CICCATI, AUSTIN LOUISSHAREHOLDER6351650
CICCATI, CARLY MARIESHAREHOLDER6351667
COLE, DAVID SCOTTCHIEF FINANCIAL OFFICER/FINOP4181156
RAHMOUNI IDRISSI, SAADCHIEF COMPLIANCE OFFICER4071743
RICHARDSON, PAUL REIDCHIEF OPERATIONS OFFICER1006146

Regulatory assets under management

Total Number of Accounts7,559
AUM (Assets Under Management)$ 1,216,021,701

Disclosures

Regulatory Event13
Arbitration6

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.

Company Information

CALTON & ASSOCIATES, INC.

CRD#: 20999Fort Smith, AR

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