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Frederick A. Tulloss

LEVEL FOUR FINANCIAL
Wilson, NC 27896
Some features on this profile are disabled
CRD#: 2128824
FT

Professional summary

Frederick Anderson Tulloss, who also goes by Fred Tulloss, Frederick A Tulloss, is a registered financial professional currently at LEVEL FOUR FINANCIAL, LLC located in Wilson, North Carolina.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 1991. Frederick has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fred Tulloss | Frederick A Tulloss

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) - BD

Click below to view Frederick Anderson Tulloss's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 5, 2021 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 2301 Airport Boulevard, Wilson, NC 27896
BD
CRD#: 25700
Wilson, NC
Past

September 17, 2015 - August 19, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
GREENVILLE, NC
Past

March 22, 1991 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

March 22, 1991 - September 16, 2015

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
ROCKY MOUNT, NC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maryland
(5/8/2025)
RR
Michigan
(5/8/2025)
RR
Nevada
(5/8/2025)
RR
New York
(5/8/2025)
RR
North Carolina
(8/5/2021)
RR
South Carolina
(5/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/20/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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#: 25700Wilson, NC 27896

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