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12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-12-21 |
| TX | RA | APPROVED | 2021-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co., Inc. | Raleigh | NC | 10/2004 | 02/2018 |
| Compass Capital Corporation | Braintree | MA | 02/2018 | 06/2019 |
| Level Four Financial, Llc | Dallas | TX | 06/2019 | Present |
| Level Four Advisory Services | Dallas | TX | 12/2021 | Present |
Golden Leaf Asset Management; 401 W. Hargett Street, # 518, Raleigh, NC 27603; Investment-Related; Start date 1/22/18; Managing Member; Firm is a D/B/A used for Financial Advisory business; Devote 160 hours per month, 0 during securities trading hours, duties relating to managing member only for D/B/A.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-06-25 |
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