MW
Marc S. Whitehead
LEVEL FOUR ADVISORY SERVICES
MOBILE, AL 36602
Some features on this profile are disabled
CRD#: 3059786
MW
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, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.MANAGING MEMBER OF MSW CONSULTING COMPANY, 4913 CARMEL DRIVE, MOBILE, AL 36608. OWN 100% OF COMPANY. NON-INVESTMENT RELATED, EXPERT WITNESS, HELPING WITH INDIVIDUAL TAX CREDIT AND DEDUCTIONS AND ANY OTHER NON-SECURITIES WORK, START DATE (4/07), 1 HOUR PER MONTH, 0 DURING TRADING HOURS. 2. DAUPHIN ISLAND SEA LAB FOUNDATION, NON-INVESTMENT RELATED, NON PROFIT, ADVISORY BOARD MEMBER THAT HELPS SUPPORT THE EFFORTS OF THE FOUNDATION TO RAISE MONEY TO SUPPORT THE SEA LAB. 1 HOUR PER MONTH WILL BE DEVOTED TO THIS ACTIVITY/0 DURING TRADING HOURS. 3. OKDIN, LLC, NOT INVESTMENT RELATED, LLC FORMED TO OWN A TRACTOR FOR HUNTING CAMP, NO CUSTODY OR CONTROL OF FUNDS, START DATE FEB 2020, OWNER, 1 HOUR PER MONTH, 0 DURING TRADING. 4. SKM HOLDINGS, LLC, 4913 CARMEL DRIVE N MOBILE, AL 36608, NOT INVESTMENT RELATED, HOLDS REAL ESTATE PROPERTIES, FAMILY LEGAL ENTITY TO HOLD REAL ESTATE AT FAMILY MEMBERS DEATH, START DATE FEB 20, 1 HOUR PER MONTH/0 DURING TRADING. MANAGING MEMBER. 5. LEVEL FOUR ADVISORY SERVICES, INVESTMENT RELATED, 12400 COIT ROAD, SUITE 700, DALLAS TX 75251, SEC REGISTERED INVESTMENT ADVISOR, INVESTMENT ADVISOR REPRESENTATIVE, START JULY 2021, 10 HOURS PER MONTH DURING TRADING HOURS. 6. LEVEL FOUR INSURANCE, INVESTMENT RELATED, 12400 COIT ROAD, SUITE 700, DALLAS TX 75251, INSURANCE AGENCY, STARTED JULY 2021, 5 HOURS PER MONTH DURING TRADING HOURS. 7. CARR RIGGS & INGRAM, LLC, EQUITY PARTNER AND CFO OF LEVEL FOUR GROUP, INC., THE NON-INVESTMENT RELATED PARENT COMPANY OF THE LEVEL FOUR GROUP OF COMPANIES LOCATED IN DALLAS TEXAS. HE STARTED IN 2021 AND DEVOTES APPROXIMATELY 80 HOURS PER MONTH DURING TRADING HOURS TO THIS ENTITY.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Scott Whitehead's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 29, 2021 - Present
LEVEL FOUR ADVISORY SERVICES
Office #1: 11 North Water Street Suite 21290, Mobile, AL 36602RIA
CRD#: 134086
MOBILE, AL
Current
May 5, 2004 - Present
LEVEL FOUR FINANCIAL, LLC
Office #1: 3605 Springhill Business Park, Suite A, Mobile, AL 36608BD
CRD#: 25700
MOBILE, AL
Past
May 12, 2006 - December 22, 2021
LEVEL FOUR FINANCIAL, LLC
RIA
CRD#: 25700
MOBILE, AL
Past
September 29, 2003 - May 25, 2004
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
April 3, 2001 - July 3, 2001
SUNSTATE EQUITY TRADING
BD
CRD#: 43571
TAMPA, FL
Past
August 1, 2000 - March 16, 2001
ON-SITE TRADING, INC.
BD
CRD#: 30271
GREAT NECK, NY
Past
May 26, 1999 - July 24, 2000
INSTATRADE, INC.
BD
CRD#: 43695
ATLANTA, GA
Past
January 29, 1999 - May 27, 1999
NT SECURITIES LLC
BD
CRD#: 45694
CHICAGO, IL
Past
August 10, 1998 - October 15, 1998
INSTATRADE, INC.
BD
CRD#: 43695
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LF
LEVEL FOUR ADVISORY SERVICES
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 | 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 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 CAPITAL 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
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/5/2004)
IAR
Alabama(7/29/2021)
RR
Alaska(2/7/2008)
RR
Arizona(11/6/2006)
RR
Arkansas(1/3/2007)
RR
California(10/10/2008)
RR
Colorado(3/13/2009)
RR
Connecticut(5/31/2006)
RR
Delaware(1/3/2007)
RR
District of Columbia(11/15/2007)
RR
Florida(5/5/2004)
RR
Georgia(5/5/2004)
RR
Hawaii(1/3/2006)
RR
Idaho(3/13/2009)
RR
Illinois(10/10/2008)
RR
Indiana(1/26/2005)
RR
Iowa(11/14/2005)
RR
Kansas(3/13/2009)
RR
Kentucky(3/13/2009)
RR
Louisiana(5/5/2004)
RR
Maine(5/16/2006)
RR
Maryland(3/13/2009)
RR
Massachusetts(1/5/2005)
RR
Michigan(4/16/2008)
RR
Minnesota(12/6/2007)
RR
Mississippi(5/5/2004)
RR
Missouri(3/13/2009)
RR
Montana(1/3/2007)
RR
Nebraska(3/13/2009)
RR
Nevada(3/13/2009)
RR
New Hampshire(3/13/2009)
RR
New Jersey(3/20/2006)
RR
New Mexico(1/3/2007)
RR
New York(5/30/2006)
RR
North Carolina(1/3/2007)
RR
North Dakota(11/15/2007)
RR
Ohio(1/3/2007)
RR
Oklahoma(3/13/2009)
RR
Oregon(11/21/2006)
RR
Pennsylvania(1/3/2007)
RR
Rhode Island(5/5/2006)
RR
South Carolina(10/10/2006)
RR
South Dakota(1/3/2007)
RR
Tennessee(1/1/2018)
RR
Texas(9/6/2006)
IAR
Texas(7/29/2021)
RR
Utah(11/15/2007)
RR
Vermont(5/11/2006)
RR
Virginia(1/3/2007)
RR
Washington(1/3/2007)
RR
West Virginia(10/10/2006)
RR
Wisconsin(1/3/2007)
RR
Wyoming(1/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/6/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LEVEL FOUR ADVISORY SERVICES
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 | 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 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 CAPITAL 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
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12400 Coit Road Suite 700, Dallas, TX 75251
Mailing Address
Phone number
(972) 665-0878
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,510 |
| AUM (Assets Under Management) | $ 5,320,412,049 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2024 | ||
| 06/30/2023 |
Red Flags
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Company Information
LEVEL FOUR ADVISORY SERVICES
CRD#: 134086Mobile, AL 36602TRUST BUT VERIFY
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