LEVEL FOUR FINANCIAL, LLC ⚠ Disclosure events INACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 25700
- Firm name
- LEVEL FOUR FINANCIAL, LLC
- Other names / DBAs
- BURTON, BUSBY & CO., INC.; MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADV; LEVEL FOUR FINANCIAL, LLC; LEVEL FOUR FINANCIAL; J.ROE BURTON & CO. INC.; J. ROE BURTON & CO. INC.; HARBOR FINANCIAL SERVICES, LLC; HARBOR FINANCIAL SERVICES; HARBOR FINANCIAL
- IA scope
- INACTIVE
- SEC IA file
- 801-65811
- SEC BD file
- 8-41965
- Branches
- 77
- Disclosure events
- YES
- HQ
- MOBILE, AL, 36602, United States
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