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12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2022-02-25 |
| NC | RA | APPROVED | 2015-09-08 |
| TX | RA | APPROVED | 2015-09-08 |
Branch Locations
7868 Hwy 70 W, La Grange, NC 28551 • United States
12400 Coit Road Suite 700, Dallas, TX 75251 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Level Four Advisory Services | La Grange | NC | 09/2015 | Present |
| Lpl Financial, Llc | La Grange | NC | 09/2015 | 03/2021 |
| Level Four Financial, Llc | Dallas | TX | 03/2021 | Present |
1.LEVEL FOUR INSURANCE SERVICES, LLC, NOT INVESTMENT RELATED, NON-VARIABLE INSURANCE - STARTED 9/15/2015, PROPERTY AND CASUALTY STARTED 01/02/2017. 2.LEVEL FOUR ADVISORY SERVICES, INVESTMENT RELATED, 7868 HIGHWAY 70 WEST, LAGRANGE, NC 28551, REGISTERED INVESTMENT ADVISOR, STARTED 7/27/2015, 60% OF TIME SPENT DURING TRADING HOURS, FEE BASED ASSET MANAGEMENT AND FEE FOR SERVICE. 3. ROTARY CLUB OF KINSTON, NOT INVESTMENT RELATED, 405 E. NEW BERN ROAD, KINSTON, NC, 28504, STARTED 4/1/1997, MEMBER OF ROTARY INTERNATIONAL, 1 HOUR DEVOTED PER MONTH OUTSIDE OF TRADING HOURS, NO CONTROL OVER FUNDS FOR THE ORGANIZATION, COMMUNITY SERVICE ORGANIZATION. 4.PINWHEEL PROPERTIES LLC, (REAL ESTATE RENTAL) 1000 FEMDALE COURT NW, WILSON NC 27893, 1 HOUR PER MONTH / 0 DURING TRADING HOURS. OWNER OF INVESTMENT PROPERTY. STARTED 8/27/2019 5.TRINITY CAPITAL GROUP, LLC, (REAL ESTATE RENTAL), 1000 FEMDALE COURT NW, WILSON NC 27893, 1 HOUR PER MONTH / 0 DURING TRADING HOURS. OWNER OF INVESTMENT PROPERTY. STARTED 8/21/2019 6. AUTHOR, NOT INVESTMENT RELATED, PROVIDES FINANCIAL SERVICES PRACTICE MANAGEMENT CONSULTING, LECTURES. 5 HOURS PER MONTH / 0 DURING TRADING HOURS, STARTED 5/2021. 7. PPC-LA GRANGE PROPERTIES, LLC, 7868 HWY 70 WEST LA GRANGE NC 28551 / INVESTMENT RELATED, UNIT HOLDER IN REAL ESTATE INVESTMENT PROPERTY / 0 HOURS DEVOTED DURING TRADING HOURS / OWN TOGETHER WITH EQUITY PARTNERS OF CARR RIGGS & INGRAM / STARTED 6/2021 8. EAST CAROLINA UNIVERSITY, NOT INVESTMENT RELATED, MANAGEMENT ADVISORY COMMITTEE MEMBER FOR COLLEGE OF BUSINESS, STARTED 10/1/2022, DEVOTES 1 HOUR PER MONTH AFTER BUSINESS HOURS, RESPONSIBILITY TO ADVISE COLLEGE IN ORDER TO ENHANCE BUSINESS SCHOOL PRESENCE IN LOCAL COMMUNITY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-27 |
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