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Current Employers
Level Four Advisory Services

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-01-16
NC RA APPROVED 2015-09-08
  • TX RA
    APPROVED_RES
    Since 2018-01-16
  • NC RA
    APPROVED
    Since 2015-09-08

Branch Locations

2301 Airport Blvd, Wilson, NC 27896 • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ymca Wilson NC 05/2004 04/2017
Level Four Advisory Services Wilson NC 09/2015 Present
Lpl Financial Llc Wilson NC 09/2015 03/2021
Level Four Financial, Llc Dallas TX 03/2021 Present
  • 05/2004 → 04/2017
    Ymca
    Wilson, NC
  • 09/2015 → Present
    Wilson, NC
  • 09/2015 → 03/2021
    Lpl Financial Llc
    Wilson, NC
  • 03/2021 → Present
    Level Four Financial, Llc
    Dallas, TX
Previous Registrations
Other Businesses

1.LEVEL FOUR INSURANCE SERVICES, LLC, INVESTMENT RELATED, NON-VARIABLE INSURANCE, 50% OF TIME DEVOTED TO SALES OF FIXED, TERM AND WHOLE INSURANCE, STARTED 9/11/2015. 2.LEVEL FOUR ADVISORY SERVICES, INVESTMENT RELATED, 7868 HIGHWAY 70 WEST, LAGRANGE, NC 28551, REGISTERED INVESTMENT ADVISOR, 30% OF TIME SPENT DURING TRADING HOURS, FEE BASED ASSET MANAGEMENT AND FEE FOR SERVICE, STARTED 7/27/2016. 3.NOTARY, NOT INVESTMENT RELATED, 1 HOUR PER MONTH DEVOTED DURING TRADING HOURS, STARTED 2/15/2015. 4.SOCO PROPERTIES, LLC, INVESTMENT RELATED, HOME BASED & WILSON, NC, REAL ESTATE RENTAL PROPERTY, PURCHASED PROPERTY AND FORMED LLC TO RENOVATE AND RENT, 5 HOUR PER MONTH / 0 DURING TRADING HOURS, STARTED 10/20/2017. 5.SOCO PROPERTIES II, LLC, INVESTMENT RELATED, HOME BASED & WILSON, NC, REAL ESTATE RENTAL PROPERTY, PURCHASED PROPERTY AND FORMED LLC TO RENOVATE AND RENT, 10 HOUR PER MONTH / 0 DURING TRADING HOURS, STARTED 6/12/2019. 6.SARGENT INVESTMENT GROUP, LLC, INVESTMENT RELATED, WILSON, NC, 27810, REAL ESTATE RENTAL PROPERTY, 25% PARTNER, TRACK EXPENSES AND INCOME AND PAY BILLS FOR THE LLC, 1 HOUR PER MONTH DEVOTED DURING TRADING HOURS, STARTED 2018. 7.SARGENT PROPERTIES, LLC, INVESTMENT RELATED, WILSON, NC, 27810, REAL ESTATE RENTAL PROPERTY, 25% PARTNER, TRACK EXPENSES AND INCOME AND PAY BILLS FOR THE LLC, 2 HOURS PER MONTH DEVOTED DURING TRADING HOURS, STARTED 2017. 8.WILSON FAMILY YMCA, NOT INVESTMENT RELATED, 3436 AIRPORT BLVD., WILSON, NC 27896, FITNESS INSTRUCTOR, 12 HOURS PER MONTH / 0 DURING TRADING HOURS, STARTED 6/12/2019.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-23
  • S66 Uniform Combined State Law Examination
    2009-12-23
Other Names
  • Mary Elizabeth Givens
  • Mary Givens Via
  • Mary E Sargent

View on SEC IAPD

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