Brian Richard Clauer

Employer firm

Level Four Advisory Services CRD 134086

$6.54B regulatory AUM 98 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Level Four Advisory Services

12400 Coit Road Suite 700, Dallas, TX 75251 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-03-05

CA RA
APPROVED

Since 2021-03-05

Branch Locations

Burbank, CA • United States

12400 Coit Road Suite 700, Dallas, TX 75251 • United States

Disclosures

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.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Level Four Financial, Llc	Dallas	TX	05/2010	Present
Level Four Advisory Services, Llc	Dallas	TX	02/2021	Present

05/2010 → Present

Level Four Financial, Llc

Dallas, TX
02/2021 → Present

Level Four Advisory Services, Llc

Dallas, TX

Previous Registrations

2004-07-20 → 2008-08-13

Ameriprise Advisor Services, Inc.

Chicago, IL

Northbrook, IL

Chicago, IL
2002-11-26 → 2004-08-13

Quick & Reilly, Inc.

Chicago, IL

Other Businesses

VTG ALPINE, E-COMMERCE RENTAL BUSINESS THAT SELLS VINTAGE ALPINE SPORTS ACCESSORIES AND DECORATIVE ITEMS, STARTED 10/3/2024, DEVOTE 10 HOURS PER MONTH OUTSIDE OF TRADING HOURS TO THIS ACTIVITY, NOT INVESTMENT RELATED, OWNER OPERATOR IN BURBANK, CA.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-08-20
S63	Uniform Securities Agent State Law Examination	1996-05-30

S65 Uniform Investment Adviser Law Examination

1997-08-20
S63 Uniform Securities Agent State Law Examination

1996-05-30

View on SEC IAPD