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Michael J. Balfe

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CRD#: 1470462
MB

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.

Michael John Balfe was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 20, 2007 - December 31, 2017

LEVEL FOUR FINANCIAL, LLC

RIA
CRD#: 25700
Bradenton, FL
Past

February 16, 2007 - December 31, 2017

LEVEL FOUR FINANCIAL, LLC

BD
CRD#: 25700
Bradenton, FL
Past

March 14, 2003 - February 21, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
SARASOTA, FL
Past

March 7, 2003 - February 21, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SARASOTA, FL
Past

January 3, 1997 - March 19, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
SARASOTA, FL
Past

February 6, 1995 - March 19, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 20, 1995 - January 26, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 14, 1989 - February 15, 1995

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

August 23, 1989 - December 4, 1989

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

April 23, 1986 - December 22, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/31/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/19/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination

Current Firm

LF
LEVEL FOUR FINANCIAL, LLC
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

CRD#: 25700 / SEC#: 801-65811, 8-41965

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
12400 Coit Road 11 North Water Street, Ste 21290, Mobile, AL 36602
Mailing Address
12400 Coit Road Suite 700, Dallas, TX 75251
Phone number
(866) 834-1040
Established
Alabama since 01/22/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
LEVEL FOUR GROUP, LLCMEMBER
HOPKINS, THOMAS JOHNFINOP1835087
MILLER, KIMBERLY KAYCHIEF COMPLIANCE OFFICER, AMLCO4175240
TOMES, EDMON JACOBCHIEF EXECUTIVE OFFICER3181660
WHITEHEAD, MARC SCOTTPRESIDENT3059786

Disclosures

Regulatory Event7
Arbitration1

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.

Company Information

LEVEL FOUR FINANCIAL, LLC

CRD#: 25700

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