Charles E. Lefort
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.
Charles Ernest Lefort was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, PC, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2022 - June 6, 2025
LEVEL FOUR FINANCIAL, LLC
August 18, 2014 - October 14, 2019
MID-ATLANTIC SECURITIES, INC.
March 26, 2010 - November 12, 2012
MID-ATLANTIC SECURITIES, INC.
March 26, 2010 - October 31, 2022
MID-ATLANTIC SECURITIES, INC.
March 20, 2000 - March 26, 2010
DAVENPORT & COMPANY LLC
February 14, 2000 - March 10, 2000
WACHOVIA SECURITIES, INC.
February 14, 2000 - March 26, 2010
DAVENPORT & COMPANY LLC
April 8, 1994 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
July 31, 1993 - March 8, 1994
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 19, 1976 - April 11, 1988
E. F. HUTTON & COMPANY INC
October 12, 1970 - December 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 9/2/1969
Registered 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
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