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12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-09-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Denver | CO | 12/2010 | 03/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2017 | 09/2017 |
| Northwestern Mutual Investment Services Llc | Lakewood | CO | 04/2017 | 09/2017 |
| Axa Advisors, Llc | New York | NY | 11/2017 | 05/2020 |
| Little Dragon | Denver | CO | 12/2019 | 05/2020 |
| Fidelity Investments | Lone Tree | CO | 06/2020 | 10/2023 |
| Unemployed | Keller | TX | 11/2023 | 04/2024 |
| Principal Life Insurance Company | Addison | TX | 04/2024 | 09/2024 |
| Principal Securities, Inc. | Addison | TX | 04/2024 | 09/2024 |
| Level Four Advisory Services, Llc | Dallas | TX | 09/2024 | Present |
| Level Four Financial, Llc | Dallas | TX | 09/2024 | Present |
1. DBA REBECCA CLAUER, POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 2. BLC VENTURES, ONLINE WEBSITE BUSINESS, RETAIL AND WHOLESALE OF CABINETS, STARTED 1/1/2025, DEVOTE APPROXIMATELY 4 HOURS PER MONTH OUTSIDE OF TRADING HOURS, OWNER.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2011-01-24 |
| S65 | Uniform Investment Adviser Law Examination | 2000-05-30 |
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