Carla L. Chastain

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CRD#: 2282302

Professional summary

Carla Lea Chastain was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Carla is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Carla had worked at 9 firms, which includes RIDGEWAY & CONGER INC., GUNNALLEN FINANCIAL INC, KCD FINANCIAL INC., MAIN STREET MANAGEMENT COMPANY, FIRST FINANCIAL BROKERAGE SERVICES INC., FSC SECURITIES CORPORATION, FIRST FINANCIAL ADVISORS INC., VOYA FINANCIAL ADVISORS INC., WOODBURY FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Carla Lea Ruff

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 9, 2006 - July 10, 2006

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

July 27, 2004 - May 25, 2005

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

ROGERS, AR

Past

January 30, 2004 - August 22, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

December 18, 2003 - February 2, 2004

KCD FINANCIAL, INC.

CRD#: 127473

GREEN BAY, WI

Past

November 3, 2003 - December 3, 2003

MAIN STREET MANAGEMENT COMPANY

RIA

CRD#: 547

ROGERS, AR

Past

November 3, 2003 - December 3, 2003

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

December 4, 1997 - November 7, 2003

FIRST FINANCIAL BROKERAGE SERVICES, INC.

CRD#: 43663

HARRISON, AR

Past

February 3, 1997 - December 5, 1997

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

January 1, 1996 - July 19, 2004

FIRST FINANCIAL ADVISORS, INC.

RIA

CRD#: 110254

ROGERS, AR

Past

April 21, 1993 - February 4, 1997

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 5, 1992 - April 24, 1993

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/2/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/2006

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/9/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 6

Date: 10/1/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RIDGEWAY & CONGER, INC.

CRD#: 113055 / SEC#: , 8-53291

Terminated by SEC on 07/10/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 02/02/2001

Firm type

Corporation

Fiscal year end

March

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CLAYTON LOWELL & CONGER, INC.	OWNER
GARBER, LEIGH MCCOBB	PRESIDENT, CEO	2768572
GARBER, LEIGH MCCOBB	CCO/COO
GARBER, LEIGH MCCOBB	MUNI. PRIN./VP/SEC/TREAS/ROSFP	2768572

Disclosures

Regulatory Event	8
Arbitration	2

Red Flags

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Firm Stability Insights

Carla L. Chastain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

KCD FINANCIAL, INC.

MAIN STREET MANAGEMENT COMPANY

MAIN STREET MANAGEMENT COMPANY

FIRST FINANCIAL BROKERAGE SERVICES, INC.

FSC SECURITIES CORPORATION

FIRST FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/1995

Series 63

Date: 10/20/1992

Series 7

Date: 1/20/2006

Series 3

Date: 1/9/1997

Series 6

Date: 10/1/1992

Current Firm

RIDGEWAY & CONGER, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RIDGEWAY & CONGER, INC.

TRUST BUT VERIFY

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