Richard M. Budwee
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.
Richard Michael Budwee JR, who also goes by Rick Budwee, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1994. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2006 - July 13, 2010
LEVEL FOUR FINANCIAL, LLC
February 13, 2006 - July 13, 2010
LEVEL FOUR FINANCIAL, LLC
December 21, 2001 - February 22, 2006
AMERICAN WEALTH MANAGEMENT, INC.
October 1, 1999 - December 14, 2001
SUNAMERICA SECURITIES, INC.
January 15, 1994 - October 9, 1999
IDS LIFE INSURANCE COMPANY
January 15, 1994 - October 9, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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.
