Randall H. Stephens
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.
Randall Howard Stephens, who also goes by Randall H Stephens, Randy Stephens, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1996. Randall had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2004 - September 6, 2012
LEVEL FOUR FINANCIAL, LLC
August 16, 2004 - September 6, 2012
LEVEL FOUR FINANCIAL, LLC
April 23, 1999 - August 16, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 13, 1998 - April 23, 1999
USALLIANZ SECURITIES, INC.
February 7, 1996 - June 16, 1998
CENTAURUS FINANCIAL, 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
