Joseph R. Burton
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.
Joseph Roe Burton was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 8 firms and has passed the Series 63, Series 1, Series 28, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 1990 - July 20, 2006
LEVEL FOUR FINANCIAL, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
November 27, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
November 4, 1974 - June 12, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 15, 1973 - November 24, 1974
HOWARD WEIL
July 22, 1971 - August 24, 1973
REYNOLDS SECURITIES, INC.
November 18, 1970 - July 7, 1971
KOHLMEYER & CO.
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 1
Date: 8/15/1969
Registered Representative ExaminationSeries 28
Date: 2/1/1990
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 40
Date: 12/5/1974
Registered Principal ExaminationSeries 12
Date: 11/12/1974
NYSE Branch Manager 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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