Marc Scott Whitehead
Professional Summary
Marc Scott Whitehead is a registered financial advisor currently at LEVEL FOUR ADVISORY SERVICES located in Mobile, Alabama and LEVEL FOUR FINANCIAL, LLC located in Mobile, Alabama. Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Marc has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 82TO, SIE, Series 55, Series 7, Series 4,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
NYLIFE SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NYLIFE SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
NYLIFE SECURITIES LLC
Years of Experience
28 years in the financial services industry
Current & Past Employments
Similar Advisors
NYLIFE SECURITIES LLC
Current Firm
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SPARTAN PRIVATE WEALTH MANAGEMENT | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR GROUP, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE SADTLER WEALTH MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
Contact Information
Main Address
12400 Coit Road Suite 700, Dallas, TX 75251Phone Number
(972) 665-0878# of Employees
136SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
15,720AUM (Assets Under Management)
$6,543,203,513Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2024 | Cover Page | Report |
Similar Advisors
NYLIFE SECURITIES LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SPARTAN PRIVATE WEALTH MANAGEMENT | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR GROUP, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE SADTLER WEALTH MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
State Registrations and Notice Filings
(5/5/2004)
(7/29/2021)
(2/7/2008)
(11/6/2006)
(1/3/2007)
(10/10/2008)
(3/13/2009)
(5/31/2006)
(1/3/2007)
(11/15/2007)
(5/5/2004)
(5/5/2004)
(1/3/2006)
(3/13/2009)
(10/10/2008)
(1/26/2005)
(11/14/2005)
(3/13/2009)
(3/13/2009)
(5/5/2004)
(5/16/2006)
(3/13/2009)
(1/5/2005)
(4/16/2008)
(12/6/2007)
(5/5/2004)
(3/13/2009)
(1/3/2007)
(3/13/2009)
(3/13/2009)
(3/13/2009)
(3/20/2006)
(1/3/2007)
(5/30/2006)
(1/3/2007)
(11/15/2007)
(1/3/2007)
(3/13/2009)
(11/21/2006)
(1/3/2007)
(5/5/2006)
(10/10/2006)
(1/3/2007)
(1/1/2018)
(9/6/2006)
(7/29/2021)
(11/15/2007)
(5/11/2006)
(1/3/2007)
(1/3/2007)
(10/10/2006)
(1/3/2007)
(1/2/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2003About the Series 9 examSRO Registrations
Similar Advisors
NYLIFE SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Marc Scott Whitehead's CRS (Customer Relationship Summary).
Similar Advisors
NYLIFE SECURITIES LLC
