George R. Lloyd
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Randolph Lloyd JR, who also goes by George Randolph (jr) Lloyd, Randy Lloyd, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2008 - April 8, 2016
LEVEL FOUR FINANCIAL, LLC
May 10, 2004 - December 22, 2008
LPL FINANCIAL LLC
April 23, 2004 - December 22, 2008
LPL FINANCIAL LLC
January 1, 1991 - April 27, 2004
MORGAN STANLEY DW INC.
October 6, 1983 - April 27, 2004
MORGAN STANLEY DW INC.
April 19, 1983 - June 3, 1983
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
