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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

LESLIE JEAN HALE

Advisor at CALTON & ASSOCIATES, INC.

Fort Smith, AR | TAMPA, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CALTON & ASSOCIATES, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 22, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 22, 1993
First registration: Mar 11, 2005
Dual registered: yes, broker-dealer
Other names: LESLIE JEAN MORSE|LESLIE JEAN WHITE
IAPD individual key: 2192561

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CALTON & ASSOCIATES, INC.	Independent wealth	Jun 17, 2014	n/a	yes	TAMPA, FL\|TAMPA, FL\|Fort Smith, AR	Current employment
RIDGEWAY CONGER ADVISORY SERVICES	Former SEC adviser	Jul 1, 2008	Jun 19, 2014	no	FORT SMITH, AR\|NEW WOODSTOCK, NY\|FORT SMITH, AR	Previous registration
FIRST INDEPENDENT ADVISORY SERVICES, INC.	n/a	Jan 30, 2008	Jul 11, 2008	no	TULSA, OK	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Aug 24, 2005	Mar 27, 2006	no	FORT SMITH, AR	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Mar 11, 2005	Aug 16, 2005	no	BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RIDGEWAY CONGER ADVISORY SERVICES	CALTON & ASSOCIATES, INC.	Jun 19, 2014	Jun 17, 2014	-2	Firm change	Other
FIRST INDEPENDENT ADVISORY SERVICES, INC.	RIDGEWAY CONGER ADVISORY SERVICES	Jul 11, 2008	Jul 1, 2008	-10	Firm change	Other
STERNE AGEE ASSET MANAGEMENT, INC.	FIRST INDEPENDENT ADVISORY SERVICES, INC.	Mar 27, 2006	Jan 30, 2008	674	Firm change after gap	Other

Relationships

Registered with (4)

→ CALTON & ASSOCIATES, INC.Registered adviserregistration: current employment
Jun 17, 2014 to presentfactForm ADV
→ RIDGEWAY CONGER ADVISORY SERVICESRegistered adviserregistration: previous registration
Jul 1, 2008 to Jun 19, 2014factForm ADV
→ FIRST INDEPENDENT ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 30, 2008 to Jul 11, 2008factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 24, 2005 to Mar 27, 2006factForm ADV

Dated events

No dated event names this entity yet.