Larry R. Cook
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.
Larry Rudolph Cook was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1994. Larry had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
October 12, 2007 - April 15, 2015
LEVEL FOUR FINANCIAL, LLC
October 12, 2007 - April 15, 2015
LEVEL FOUR FINANCIAL, LLC
August 9, 2002 - December 31, 2020
LARRY COOK ASSOCIATES, LLC
September 7, 2001 - October 15, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 17, 2001 - September 6, 2001
RUSHMORE SECURITIES CORPORATION
July 2, 1998 - March 8, 2001
NORTHSTAR SECURITIES, INC.
May 4, 1995 - December 9, 1998
DOMINION CAPITAL CORPORATION
January 9, 1995 - May 4, 1995
FIDELITY EQUITY SERVICES CORPORATION
March 9, 1994 - December 20, 1994
AVANTAX INVESTMENT SERVICES, 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.
