Carla Wendy Cooper
Professional Summary
Carla Wendy Cooper, who also goes by Carla Wendy Comley, Carla Wendy Pakes Comley, Carla Cooper, Carla W Pakes, Carla Wendy Pakes, was a registered financial advisor. Carla was a previously registered financial advisor and started their career in finance 1977 - 2010. Carla had worked at 13 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carla Wendy Comley, Carla Wendy Pakes Comley, Carla Cooper, Carla W Pakes, Carla Wendy Pakes
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
49 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
CROWELL, WEEDON & CO.
Contact Information
Established
California since 01/18/1932Firm Type
PartnershipFiscal Year End
AprilDirect owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMES, RALPH HERBERT | GENERAL PARTNER | 4399 |
| BELLESILES, JACQUES ERNEST | GENERAL PARTNER | 17599 |
| BLAND, DAVID LEE | GENERAL PARTNER | 1099854 |
| CARLSON, RODNEY CHARLES | GENERAL PARTNER | 2285986 |
| CHRISTOPHER, DOUGLAS ANDREA | GENERAL PARTNER | 1995432 |
| COUNCIL, WILLIAM MICHAEL | GENERAL PARTNER | 848504 |
| CRONK, JAMES LEE | GENERAL PARTNER/COO | 1104799 |
| CROWELL, ANDREW EDWARD | GENERAL PARTNER/CEO | 1288101 |
| CROWELL, DONALD WARREN JR | GENERAL PARTNER | 1320520 |
| DOUD, CHARLES OREILLY | GENERAL PARTNER | 70836 |
| DOUD, THOMAS JOSEPH | GENERAL PARTNER | 2758142 |
| DOUGHERTY, JAMES WEAVER | GENERAL PARTNER | 1620921 |
| DOYEL, DENNIS MICHAEL | GENERAL PARTNER | 1789529 |
| FUNG, EDDIE SHU | GENERAL PARTNER | 2622816 |
| GINSBERG, KLINDT EMIL | GENERAL PARTNER | 1846752 |
| GRIFFIN, ALAN MILES | GENERAL PARTNER | 853835 |
| GROSSMAN, ALAN JAY | GENERAL PARTNER | 1225441 |
| HALES, JOHN MORRIS | GENERAL PARTNER | 233868 |
| HARRIS, ROBERT CARROLL | GENERAL PARTNER | 1083781 |
| HASSAN, ROBERT HARRIS | GENERAL PARTNER | 833059 |
| HOOD, THOMAS JAMES | GENERAL PARTNER | 1297995 |
| JACKSON, STEVEN CHARLES | GENERAL PARTNER | 1358825 |
| KARANTONIS, ANTONIOS | GENERAL PARTNER / CFO | 2331154 |
| KRUGER, JAMES ROY | GENERAL PARTNER/CHIEF COMPLIANCE OFFICER | 1171805 |
| KURATOMI, LINDA KEIKO | GENERAL PARTNER | 1258198 |
| MORITZ, THOMAS ANDREW | GENERAL PARTNER | 1864800 |
| MULLIGAN, STEVEN JAMES | GENERAL PARTNER | 2372962 |
| OLEARY, JOSEPH LENNON | GENERAL PARTNER | 2357537 |
| PAULSON, THEODORE RUSSELL | GENERAL PARTNER | 358333 |
| RAGAN, JAMES DARRELL | GENERAL PARTNER | 1513433 |
| REITNOUER, JOHN FREDERICK | GENERAL PARTNER | 1796658 |
| REITNOUER, LYNN PAUL | GENERAL PARTNER | 373927 |
| ROBBINS, KENNETH WILLIAM | GENERAL PARTNER | 2588039 |
| SWANSON, SCOTT MICHAEL | GENERAL PARTNER | 2198688 |
| THOMAS, DANIEL SCOTT | GENERAL PARTNER | 2195656 |
| TODD, BLAKE TRAMILL | GENERAL PARTNER | 702561 |
| WEST, THOMAS WESLEY | GENERAL PARTNER | 1162385 |
Disclosures
Regulatory Event
19Arbitration
9Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
