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JP

Joann R. Palmere

LEVEL FOUR FINANCIAL
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 5533103
JP

Professional summary

Joann Rachele Palmere, who also goes by Jo-ann Rachale Palmere, Jo-ann Rachele Palmere, Jo-ann Palmere, Joann Palmere, Jo-ann Rachele Ventres, is a registered financial professional currently at LEVEL FOUR FINANCIAL, LLC located in Dallas, Texas.

Joann is registered as a RR (Registered Representative) and started their career in finance in 2008. Joann has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jo-Ann Rachale Palmere | Jo-Ann Rachele Palmere | Jo-Ann Palmere | Joann Palmere | Jo-Ann Rachele Ventres

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joann Rachele Palmere's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 9, 2020 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 12400 Coit Road Ste 700, Dallas, TX 75251
BD
CRD#: 25700
Dallas, TX
Past

March 27, 2018 - January 6, 2021

MERCADIEN SECURITIES

BD
CRD#: 122461
HAMILTON, NJ
Past

March 22, 2016 - March 26, 2018

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
MARLTON, NJ
Past

September 4, 2014 - September 11, 2015

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW HOPE, PA
Past

June 17, 2014 - September 8, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ
Past

September 25, 2008 - June 6, 2014

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
PRINCETON, NJ

State Registrations and Notice Filings

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

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
Texas
(11/17/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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
TOMES, EDMON JACOBCHIEF EXECUTIVE OFFICER3181660
WHITEHEAD, MARC SCOTTPRESIDENT3059786

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#: 25700Dallas, TX 75251

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