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CC

Carla L. Chastain

Some features on this profile are disabled
CRD#: 2282302
CC

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"?
No

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.

BD
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

BD
CRD#: 17609
TAMPA, FL
Past

December 18, 2003 - February 2, 2004

KCD FINANCIAL, INC.

BD
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

BD
CRD#: 547
BOSTON, MA
Past

December 4, 1997 - November 7, 2003

FIRST FINANCIAL BROKERAGE SERVICES, INC.

BD
CRD#: 43663
HARRISON, AR
Past

February 3, 1997 - December 5, 1997

FSC SECURITIES CORPORATION

BD
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.

BD
CRD#: 2882
WINDSOR, CT
Past

October 5, 1992 - April 24, 1993

WOODBURY FINANCIAL SERVICES, INC.

BD
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
RR
Series 63
Date: 10/20/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 1/9/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 6
Date: 10/1/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

R&
RIDGEWAY & CONGER, INC.
AMES INVESTMENT & RETIREMENT | WARD WEALTH MANAGEMENT | UPSTATE FINANCIAL CONSULTANTS | TRADE EAGLE CORPORATION | STRONGHEART FINANCIAL | STRATUM FINANCIAL | STRATEGIC FINANCIAL PLANNING | SK CAPITAL MANAGEMENT CONULTANTS, INC. | SILVASOFT | RUSSO INVESTMENTS LLC. | ROBERT VANCE AND ASSOCIATES | RIDGEWAY & CONGER, INC. | PAIGEMICHAEL LLC | OAK FINANCIAL & RETIREMENT PLANNING INC. | MBS SOURCE | MAHTANI FINANCIAL GROUP | LEGACY WEALTH MANAGEMENT, LLC. | INVESTMENTS CONCEPTS | FAUBEL FINANCIAL GROUP | FAIRFIELD FINANCIAL GROUP INC | DISNEY INVESTMENT CO. | DAVIDOW FINANCIAL | BRISARD & BRISARD, INC. | BMB TRADING INC.

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

BD
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

NamePositionCRD#
CLAYTON LOWELL & CONGER, INC.OWNER
GARBER, LEIGH MCCOBBPRESIDENT, CEO2768572
GARBER, LEIGH MCCOBBCCO/COO
GARBER, LEIGH MCCOBBMUNI. PRIN./VP/SEC/TREAS/ROSFP2768572

Disclosures

Regulatory Event8
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

RIDGEWAY & CONGER, INC.

CRD#: 113055

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