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12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2008-06-12 |
Branch Locations
12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Austin, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | New Braunfels | TX | 11/2012 | 06/2021 |
| Level Four Advisory Services | New Braunfels, | TX | 11/2012 | Present |
| Level Four Financial, Llc | Dallas | TX | 06/2021 | Present |
(1) 11/5/2012: LEVEL FOUR INSURANCE SERVICES, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - Life, annuity, ltc, and disability - 45% OF TIME SPENT. (2) 11/5/2012: HICKMAN & HICKMAN - Tax Prep/Accounting/CPA - INV REL - AT REPORTED BUSINESS LOCATION - TAX WORK AND BOOKEEPING - 10% TIME SPENT. (3) 11/09/2012: LEVEL FOUR ADVISORY SERVICES, LLC - Registered Investment Advisor - INV REL - AT REPORTED BUSINESS LOCATION(S) - Fee-based asset management and fee for service - 5% TIME SPENT. (4) 03/17/2014: THE MUND GROUP - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION(S) - On the occasion that a client needs individual or group health insurance, I will refer the business to The Mund Group - 5% TIME SPENT. (5) 10/17/2024: MILLER & MILLER INSURANCE AGENCY, PROPERTY & CASUALTY INSURANCE - REFERRAL AGENT - SALES TO CLIENTS IN NEED OF PERSONAL OR COMMERCIAL BUSINESS INSURANCE - LOCATED IN NEW BRAUNFELS, TX 78130 - 5% OF TIME DEVOITED TO THIS OTHER BUSINESS WITH APPROXIMATELY 2 HOURS DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-21 |
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