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Leslie Jean Hale

Investment Adviser Representative at CALTON & ASSOCIATES, INC.

Fort Smith, ARCRD #2192561Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
32 yrs
States Registered
17 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 17 states
ArkansasCaliforniaColoradoFloridaGeorgiaIllinoisIndianaIowaLouisianaMissouriNew MexicoNew YorkNorth CarolinaOklahomaSouth CarolinaTennesseeTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/17/2004
Series 63
Uniform Securities Agent State Law Examination
Passed 6/22/1993
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/28/1993
Series 24
General Securities Principal Examination
Passed 12/17/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.026
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Calton & Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CALTON & ASSOCIATES, INC.Current
6/17/2014 – Fort Smith, AR
RIDGEWAY CONGER ADVISORY SERVICES
7/1/2008 – 6/19/2014Fort Smith, AR
CALTON & ASSOCIATES, INC.
6/5/2014 – 6/6/2014Tampa, FL
FIRST INDEPENDENT ADVISORY SERVICES, INC.
1/30/2008 – 7/11/2008Tulsa, OK
STERNE AGEE INVESTMENT ADVISORS, INC.
8/24/2005 – 3/27/2006Fort Smith, AR
STERNE AGEE INVESTMENT ADVISORS, INC.
3/11/2005 – 8/16/2005Birmingham, AL

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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View CALTON & ASSOCIATES, INC. firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Leslie Jean Hale has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Leslie Jean Hale - Financial Advisor in Fort Smith, AR | AdvisorFinder