Carl Easley has been Shareholder and Chief Compliance Officer of Easley Investment Consultants since September 2018, is a control person of the firm and directly owns 75% or more of it.
Easley Investment Consultants, Inc. is a Ridgeland, MS firm with $224M under management, 357 clients and 2 advisers in one office, as of its January 2026 filing.
Carl Easley’s longest registration was 16 years at Wells Fargo Advisors Financial Network, LLC (2003–2020). Before joining Easley Investment Consultants in 2020, Carl Easley was registered through Wells Fargo Advisors Financial Network, LLC and Wachovia Securities, LLC.
- – present · 6 yearsRidgeland, MS · Adviser representative · Firm CRD 307258
- Wells Fargo Advisors Financial Network, LLC– · 16 yearsFlowood, MS · Adviser representative · Firm CRD 11025
- Wachovia Securities, LLC– · under a yearJackson, MS · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 3 yearsJackson, MS · Adviser representative · Firm CRD 7471
Investment adviser representative registrations
Carl Easley is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in April 2020.
- MississippiSince 14 April 2020
- TexasResidentSince 15 April 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 1 February 2024 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 1 February 2024 |
| Series 7TO | General Securities Representative Examination | 1 February 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 30 April 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 April 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 October 1996 |
| Series 7 | General Securities Representative Examination | 11 September 1996 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Carl R Easley
- CRD
- 2778849
- Firm
- Easley Investment Consultants · CRD 307258
- Role
- Shareholder and Chief Compliance Officer
- Office
- 1050 NORTHPARK DRIVE, SUITE D, Ridgeland, MS 39157
- Registration
- Investment adviser registration
- In the industry since
- August 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does Carl Easley work?
Carl Easley has been Shareholder and Chief Compliance Officer of Easley Investment Consultants, Inc. since September 2018, and is a control person of the firm.
Is Carl Easley a financial advisor?
Yes. Carl Easley has a current investment-adviser registration in Mississippi and Texas, through Easley Investment Consultants since April 2020.
How many years of experience does Carl Easley have?
Carl Easley has 29 years in the financial industry, since August 1997, across 4 adviser firms.
What exams has Carl Easley passed?
Carl Easley has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 3, Series 10, Series 9 and Series 7TO. The earliest, the Series 7, was passed in September 1996. FINRA credited Carl Easley with the SIE, which began in October 2018.
Where did Carl Easley work before Easley Investment Consultants?
Before Easley Investment Consultants, Carl Easley was registered through Wachovia Securities, LLC, July 2003 to November 2003; Prudential Securities Incorporated, April 2000 to July 2003.
Where is Carl Easley based?
Carl Easley’s registered office is in Ridgeland, MS.
Is Carl Easley registered with FINRA?
No. Carl Easley has no current broker registration.
How can I verify Carl Easley’s record?
Search CRD 2778849 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carl Easley’s full registration record.