Scott A. Harwell
Professional summary
Scott Anthony Harwell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Scott had worked at 7 firms, which includes LEVEL FOUR FINANCIAL LLC, SPIKE FINANCIAL SERVICES LLC, PRINCIPAL SECURITIES INC., MORGAN STANLEY DW INC., OSAIC FA INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2007 - August 18, 2008
LEVEL FOUR FINANCIAL, LLC
February 15, 2006 - May 2, 2007
SPIKE FINANCIAL SERVICES, LLC
March 30, 2005 - November 29, 2005
SPIKE FINANCIAL SERVICES, LLC
October 12, 2004 - March 30, 2005
LEVEL FOUR FINANCIAL, LLC
December 11, 2000 - October 18, 2004
PRINCIPAL SECURITIES, INC.
May 12, 1998 - April 19, 2000
MORGAN STANLEY DW INC.
November 12, 1993 - June 17, 1996
OSAIC FA, INC.
November 12, 1993 - November 5, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 11, 1992 - September 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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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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