Harry E. Eschbach
Professional summary
Harry Elmer Eschbach was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harry is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Harry had worked at 3 firms, which includes LEVEL FOUR FINANCIAL LLC, RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2007 - March 2, 2007
LEVEL FOUR FINANCIAL, LLC
January 18, 2007 - March 2, 2007
LEVEL FOUR FINANCIAL, LLC
July 10, 2006 - January 18, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 10, 2004 - January 18, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 16, 2000 - December 14, 2004
EDWARD JONES
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.
