Robert F. Stugard
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.
Robert Frank Stugard, who also goes by Bob Stugard, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2007 - January 8, 2013
LEVEL FOUR FINANCIAL, LLC
December 18, 2006 - January 8, 2013
LEVEL FOUR FINANCIAL, LLC
March 17, 1998 - December 15, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 15, 1998 - December 15, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 1991 - April 14, 1998
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1988 - September 17, 1991
A. G. EDWARDS & SONS, INC.
February 11, 1988 - June 2, 1988
NATIONAL SECURITIES CORPORATION
September 19, 1986 - February 18, 1988
SECURITY SERVICE CORPORATION
December 3, 1985 - September 10, 1986
ARGUS SECURITIES, INC.
December 19, 1984 - December 6, 1985
SWINK & COMPANY, INC.
October 26, 1984 - December 21, 1984
J. MILTON NEWTON, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
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