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Edmon J. Tomes

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CRD#: 3181660
ET
Edmon Jacob Tomes

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.

Edmon Jacob Tomes, who also goes by Jake Tomes, was a registered financial professional .

Edmon is a previously registered financial professional and started their career in finance in 1999. Edmon had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Aliases

Jake Tomes

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. L4 ADVISORY SERVICES, LLC, INVESTMENT RELATED, 12400 COIT ROAD, STE 1000, DALLAS, TX 75251, SEC REGISTERED IA, IAR EXECUTIVE OFFICER, START DATE NOV 2012, 80 HOURS PER MONTH/70 DURING TRADING. 2. L4 CAPITAL MANAGEMENT, INVESTMENT RELATED, 12400 COIT ROAD, STE 1000, DALLAS, TX 75251, SEC REGISTERED IA, IAR EXECUTIVE OFFICER, START DATE DEC 2014, 4 HOUERS PER MONTH DURING TRADING. 3. L4 GROUP, NOT INVESTMENT RELATED, HOLDING COMPANY, CEO/OFFICER, EMPLOYEE SERVICES, 12400 COIT ROAD, STE 1000, DALLAS, TX 75251, START DATE OCTOBER 2014, 10 HOURS SPENT ON ACTIVITY. 4. LEVEL 4 INSURANCE GROUP, INVESTMENT RELATED, AGENT, SALE OF INSURANCE PRODUCTS, 12400 COIT ROAD, STE 1000, DALLAS, TX 75251, START DATE NOV 2012, 20 HOURS PER MONTH/20 DURING TRADING. 5. PREFERRED LEGACY TRUST, INVESTMENT RELATED, 103 PLAZA DRIVE STE B, CLAIRSVILLE, OH 43950, FOR PROFIT BOARD MEMBER OF TRUST COMPANY, START DATE JAN 2018, 1 HOUR PER MONTH/1 DURING TRADING. 7. EJT HOLDING, INVESTMENT RELATED, 3388 TUSCAN OAKS DRIVE, FRISCO, TX 75251, BUSINES ENTITY FOR TAX/INVESTMENT PRUPOSES, START DATE DEC 2017. 2 HOURS PER MONTH SPENT ON ACTIVITY/0 DURING TRADING. 8. CRI CPA, NOT INVESTMENT RELATED, 1117 BOLL WEEVIL CIRCLE, STE 200, ENTERPRISE, AL 36330, EQUITY PARTNER CPA FIRM, CEO, START DATE OCT 2014, 4 HOURS PER MONTH DURING TRADING. 9. VT1, LLC, STARTED 8/2023, RETAIL FRANCHISEE, LOCATED AT 3388 TUSCAN OAKS DRIVE, FRISCO 75034, NOT INVESTMENT RELATED, OWNER/MANAGER. APPROXIMATELY 5 HOURS DEVOTED TO THE BUSINESS PER MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 10, 2020 - September 11, 2026

LEVEL FOUR FINANCIAL, LLC

BD
CRD#: 25700
DALLAS, TX
Past

November 1, 2020 - April 1, 2021

LEVEL FOUR FINANCIAL, LLC

RIA
CRD#: 25700
Dallas, TX
Past

November 24, 2019 - September 11, 2026

LEVEL FOUR CAPITAL MANAGEMENT

RIA
CRD#: 304792
DALLAS, TX
Past

November 5, 2012 - December 17, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
DALLAS, TX
Past

November 15, 2007 - December 4, 2012

OSAIC FS, INC.

BD
CRD#: 3870
PLANO, TX
Past

July 12, 2005 - September 11, 2026

LEVEL FOUR ADVISORY SERVICES

RIA
CRD#: 134086
DALLAS, TX
Past

November 1, 2002 - February 24, 2006

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
OAK POINT, TX
Past

October 28, 2002 - November 21, 2007

SECURITIES AMERICA, INC.

BD
CRD#: 10205
PLANO, TX
Past

December 5, 2000 - October 31, 2002

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

February 5, 2000 - October 31, 2002

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
DALLAS, TX
Past

November 24, 1999 - June 15, 2000

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

What does exam status mean?
State Security Law Exam
PR
PR
Series 66
Status Unavailable
Passed: 12/27/1999
Uniform Combined State Law Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 11/23/1999
General Securities Representative Examination
Principal/Supervisory Exam
PR
Series 24
Status Unavailable
Passed: 12/28/2005
General Securities Principal Examination

Current Firm

LF
LEVEL FOUR FINANCIAL, LLC
BURTON, BUSBY & CO., INC. | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADV | LEVEL FOUR FINANCIAL, LLC | LEVEL FOUR FINANCIAL | J.ROE BURTON & CO. INC. | J. ROE BURTON & CO. INC. | HARBOR FINANCIAL SERVICES, LLC | HARBOR FINANCIAL SERVICES | HARBOR FINANCIAL

CRD#: 25700 / SEC#: 801-65811, 8-41965

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
12400 Coit Road 11 North Water Street, Ste 21290, Mobile, AL 36602
Mailing Address
12400 Coit Road Suite 700, Dallas, TX 75251
Phone number
(866) 834-1040
Established
Alabama since 01/22/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
LEVEL FOUR GROUP, LLCMEMBER
HOPKINS, THOMAS JOHNFINOP1835087
MILLER, KIMBERLY KAYCHIEF COMPLIANCE OFFICER, AMLCO4175240
WHITEHEAD, MARC SCOTTPRESIDENT - LEVEL FOUR FINANCIAL, LLC3059786
WOODS, BRITTPRESIDENT - LEVEL FOUR GROUP, LLC4653884

Disclosures

Regulatory Event7
Arbitration1

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.

Company Information

LEVEL FOUR FINANCIAL, LLC

CRD#: 25700

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