Ricky S. Geislinger
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.
Ricky Steven Geislinger, who also goes by Rick Steven Geislinger, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 1996. Ricky had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2016 - January 30, 2017
LEVEL FOUR FINANCIAL, LLC
October 21, 2002 - July 6, 2016
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 19, 2001 - October 23, 2002
NDX TRADING, INC.
September 25, 2000 - December 19, 2001
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1999 - October 3, 2000
JOSEPHTHAL & CO., INC.
January 26, 1996 - November 10, 1999
TUSCHNER & COMPANY, 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
Series 62
Date: 1/25/1996
Corporate Securities Limited Representative ExaminationCurrent 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.
