Robert Garza
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.
Robert Garza, who also goes by Bobby Garza, Doc Garza, Roberto Garza, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, 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
January 5, 2021 - August 29, 2023
LEVEL FOUR FINANCIAL, LLC
October 2, 2020 - August 29, 2023
LEVEL FOUR ADVISORY SERVICES
October 1, 2020 - December 31, 2020
LPL FINANCIAL LLC
September 12, 2012 - October 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2012 - October 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2012 - September 6, 2012
SPC
March 29, 2012 - September 6, 2012
SIGMA FINANCIAL CORPORATION
May 23, 2011 - September 11, 2012
MAINSTAY FINANCIAL GROUP, LLC.
July 14, 2010 - October 4, 2010
CHASE INVESTMENT SERVICES CORP.
March 23, 2010 - October 4, 2010
CHASE INVESTMENT SERVICES CORP.
September 26, 2000 - March 3, 2010
FIDELITY BROKERAGE SERVICES LLC
January 25, 1999 - September 26, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
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
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.
