Guy D. Struble
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.
Guy Dennis Struble was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1989. Guy had worked at 4 firms and has passed the 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
February 27, 2007 - January 3, 2014
LEVEL FOUR FINANCIAL, LLC
February 21, 2007 - January 3, 2014
LEVEL FOUR FINANCIAL, LLC
September 8, 2005 - February 22, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 15, 2003 - February 22, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 19, 1996 - August 20, 2003
RAYMOND JAMES & ASSOCIATES, INC.
March 13, 1996 - August 20, 2003
RAYMOND JAMES & ASSOCIATES, INC.
November 22, 1989 - March 5, 1996
A. G. EDWARDS & SONS, 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
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.
