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Detailed Report
CARLA WENDY COOPER
CARLA WENDY COMLEY, CARLA WENDY PAKES COMLEY, CARLA COOPER, CARLA W PAKES, CARLA WENDY PAKES
CRD#: 838334
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199820002002200420062008201020122 FIRMS2003 - 2003 (<1 year)IACROWELL, WEEDON & CO. (CRD# 193)2006 - 2010 (3 years)IADIAMOND HERITAGE, LLC (CRD# 130624)2006 - 2006 (<1 year)IASEIDLER INVESTMENT ADVISORS IN... (CRD# 107778)2004 - 2006 (2 years)IATHE SEIDLER COMPANIES INCORPORATED (CRD# 3911)2004 - 2005 (1 year)IACIBC WORLD MARKETS CORP. (CRD# 630)1998 - 2003 (4 years)
Disclosure(s)
View By:
4/25/2011
Regulatory
Final
Previous Registration(s)
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 12/06/2006 - 08/06/2010 CROWELL, WEEDON & CO. (CRD#:193) LOS ANGELES, CA
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 07/25/2006 - 12/07/2006 DIAMOND HERITAGE, LLC (CRD#:130624) LOS ANGELES, CA
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 02/25/2004 - 12/07/2006 SEIDLER INVESTMENT ADVISORS INCORPORATED (CRD#:107778) LOS ANGELES, CA
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 02/25/2004 - 02/18/2005 THE SEIDLER COMPANIES INCORPORATED (CRD#:3911) LOS ANGELES, CA
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 04/15/2003 - 12/10/2003 OPPENHEIMER ASSET MANAGEMENT INC. (CRD#:105559) NEW YORK, NY
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 01/03/2003 - 04/15/2003 FAHNESTOCK ASSET MANAGEMENT (CRD#:249) LOS ANGELES, CA
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 03/24/1998 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) LOS ANGELES, CA
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.