AT
Alan R. Tipton
LEVEL FOUR ADVISORY SERVICES
Shreveport, LA 71105
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CRD#: 2282325
AT
Professional summary
Alan Ray Tipton JR, who also goes by Alan Tipton Jr, is a registered financial advisor currently at LEVEL FOUR ADVISORY SERVICES located in Shreveport, Louisiana and LEVEL FOUR FINANCIAL, LLC located in Shreveport, Louisiana.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Alan has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan Tipton Jr
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.
1. 03/06/2015: Level Four Advisory Services, LLC - SEC Registered Investment Advisor, Investment Advisor Representative, Corporate office located at 12400 Coit Road, Suite 700, Dallas TX 75251, Devote 75% of time to this entity during business trading hours. 2.11/15/2018 - Bossier Walkons, LLC - Investment Related - 3010 Airline Dr. Bossier City, LA. 71111-2108 - Business Entity For Tax/Investment Purposes Only - Started 08/26/2016 - 0 Hours Per Month - Passive investor in this restaurant. 3.4/17/2020 - Tipton Wealth Management - DBA: Tipton Wealth Management, LLC - Investment related - At Reported Business Location(s) - DBA for Business Conducted through Level Four - Started 04/01/2020 - 100 Hours Per Month/5 Hours During Securities Trading. 4.6/17/2020 - Magnolia Wealth Strategies - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/09/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 5.2/11/2021 - Crescent Capital Management - Investment Related - At Reported Business Location(s) - DBA for business conducted at Level Four, Started 01/13/2021 - 100 Hours Per Month During Securities Trading. 6. 4/29/2015 - Tipton Restaurant, LLC, Not Investment Related - Food Service Industry, Managing Member, Located in Shreveport, LA, Devote 1 hours per month to this entity during securities trading hours. 7. 3/15/2024 - Tipton Investments, LLC, - Current Inactive - Entity started for personal business transactions/investments - Located in Shreveport, LA, Devote 0 time to this entity currently. 8. 01/01/2025 - N10 Holdings, LLC, Land Management, located in Shreveport, LA 71105, work with mother in oil and gas related land management decisions, I do not have custody or control over funds or property in connection with this entity, devote approximately 1 hour per month with no time spend during market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Ray Tipton JR's 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®
NoneExperience
Current
May 13, 2014 - Present
LEVEL FOUR ADVISORY SERVICES
Office #1: 6425 Youree Drive, Suite 260, Shreveport, LA 71105RIA
CRD#: 134086
Shreveport, LA
Current
June 7, 2021 - Present
LEVEL FOUR FINANCIAL, LLC
Office #1: 6425 Youree Drive Suite 420, Shreveport, LA 71105BD
CRD#: 25700
Shreveport, LA
Past
July 10, 2009 - June 13, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
SHREVEPORT, LA
Past
July 10, 2009 - June 15, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
SHREVEPORT, LA
Past
February 26, 2008 - July 13, 2009
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
SHREVEPORT, LA
Past
September 12, 2000 - July 13, 2009
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
SHREVEPORT, LA
Past
October 6, 1994 - October 2, 2000
CAPITAL ONE INVESTMENTS, LLC
BD
CRD#: 17526
NEW ORLEANS, LA
Past
January 4, 1993 - September 2, 1994
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(6/15/2021)
RR
Arkansas(6/7/2021)
RR
California(6/7/2021)
RR
Colorado(6/7/2021)
RR
Florida(6/7/2021)
RR
Georgia(6/7/2021)
RR
Indiana(1/3/2023)
IAR
Louisiana(5/13/2014)
RR
Louisiana(6/7/2021)
RR
Oklahoma(6/7/2021)
RR
Oregon(6/7/2021)
RR
Tennessee(8/1/2024)
IAR
Texas(12/2/2016)
RR
Texas(6/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12400 Coit Road Suite 700, Dallas, TX 75251
Mailing Address
Phone number
(972) 665-0878
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,510 |
| AUM (Assets Under Management) | $ 5,320,412,049 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2024 | ||
| 06/30/2023 |
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 ADVISORY SERVICES
CRD#: 134086Shreveport, LA 71105TRUST BUT VERIFY
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Contact information
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