Gregg D. Overstake
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.
Gregg Douglas Overstake was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1986. Gregg had worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 27, Series 4, Series 53 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
September 13, 2021 - July 8, 2025
LEVEL FOUR FINANCIAL, LLC
November 5, 2012 - October 8, 2021
LPL FINANCIAL LLC
April 28, 2009 - July 8, 2025
LEVEL FOUR ADVISORY SERVICES
February 11, 2009 - November 19, 2012
OSAIC FS, INC.
March 31, 2008 - February 27, 2009
ROSENTHAL ADVISORY SERVICES, L.P.
December 10, 2007 - February 10, 2009
NATIONAL PLANNING CORPORATION
December 3, 2007 - February 10, 2009
NATIONAL PLANNING CORPORATION
May 23, 2006 - February 2, 2007
MOMENTUM INDEPENDENT NETWORK INC.
May 23, 2006 - February 2, 2007
MOMENTUM INDEPENDENT NETWORK INC.
March 1, 2006 - February 2, 2007
HILLTOP SECURITIES INC.
March 1, 2006 - February 2, 2007
HILLTOP SECURITIES INC.
January 14, 2004 - March 17, 2006
SECURITIES AMERICA ADVISORS, INC.
August 3, 2000 - March 17, 2006
SECURITIES AMERICA, INC.
July 6, 1995 - July 28, 2000
1ST GLOBAL CAPITAL CORP.
July 10, 1991 - July 10, 1995
AVANTAX INVESTMENT SERVICES, INC.
August 15, 1990 - June 20, 1991
FINANCIAL HORIZONS SECURITIES CORPORATION
August 15, 1990 - June 20, 1991
FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.
February 6, 1989 - May 24, 1989
FINANCIAL HORIZONS SECURITIES CORPORATION
July 23, 1986 - February 10, 1989
INVEST FINANCIAL CORPORATION
May 9, 1986 - July 10, 1986
FORESTERS FINANCIAL SERVICES, INC.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
