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12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-10 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilltop Securities Inc. | Dallas | TX | 04/2012 | 06/2017 |
| Capital One Investing, Llc | Plano | TX | 06/2017 | 08/2019 |
| Capital One Advisors, Llc | Plano | TX | 06/2017 | 08/2019 |
| Kestra Financial | Austin | TX | 08/2019 | 03/2021 |
| Kestra Advisory Services, Llc | Austin | TX | 08/2019 | 03/2021 |
| Level Four Financial, Llc | Mobile | AL | 03/2021 | Present |
| Level Four Advisory Services, Llc | Dallas | TX | 03/2021 | Present |
| Carr, Riggs & Ingram Capital Advisors, Llc | Montgomery | AL | 03/2021 | Present |
1. CRI CAPITAL ADVISORY, 12400 COIT ROAD, STE 700 DALLAS TX 75251, CCO, 20 HOURS PER MONTH/20 DURING TRADING, START DATE MARCH 2021. GENERAL COMPLIANCE SERVICES AS BD CCO AND AML CO. 2. LEVEL FOUR ADVISORY SERVICES, LLC, 12400 COIT ROAD STE 700 DALLAS TX 75251, MANAGING DIRECTOR, COMPLIANCE - HEAD OF SUPERVISION, START DATE MARCH 2021, 60 HOURS PER MONTH/60 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 2005-05-14 |
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