Carla S. Sleeter
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.
Carla Sue Sleeter, CFA, who also goes by Carla Sue White, was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 1994. Carla had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 16, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - November 22, 2016
FIRST CLEARING, LLC
July 19, 2010 - October 5, 2011
AVANTAX INVESTMENT SERVICES, INC.
June 8, 2010 - January 6, 2011
WELLS FARGO INVESTMENTS, LLC
December 14, 2009 - July 8, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 6, 2009 - July 8, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 20, 2008 - July 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 7, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 17, 1994 - December 31, 1996
WALNUT STREET SECURITIES, 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
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
