James J. Kleinkopf
Professional summary
James Justin Kleinkopf was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, James had worked at 6 firms, which includes LEVEL FOUR FINANCIAL LLC, RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, UBS FINANCIAL SERVICES INC., HAMILTON INVESTMENTS INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2005 - February 1, 2011
LEVEL FOUR FINANCIAL, LLC
April 13, 2005 - February 1, 2011
LEVEL FOUR FINANCIAL, LLC
February 22, 1999 - March 28, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - March 28, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 1, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
June 3, 1994 - August 27, 1998
UBS FINANCIAL SERVICES INC.
August 9, 1991 - June 24, 1994
HAMILTON INVESTMENTS, INC.
April 19, 1988 - September 17, 1991
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
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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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