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MS

Mary E. Sargent

LEVEL FOUR ADVISORY SERVICES
WILSON, NC 27896
Some features on this profile are disabled
CRD#: 5710395
MS

Professional summary

Mary Elizabeth Sargent, CLU®, who also goes by Mary Elizabeth Givens, Mary E Sargent, Mary Givens VIa, is a registered financial advisor currently at LEVEL FOUR ADVISORY SERVICES located in Wilson, North Carolina and LEVEL FOUR FINANCIAL, LLC located in Wilson, North Carolina.

Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mary has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mary Elizabeth Givens | Mary E Sargent | Mary Givens Via

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) - RIA

Click below to view Mary Elizabeth Sargent'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®
CLU®

Chartered Life Underwriter

Experience

Current

September 8, 2015 - Present

LEVEL FOUR ADVISORY SERVICES

Office #1: 2301 Airport Blvd, Wilson, NC 27896
RIA
CRD#: 134086
WILSON, NC
Current

March 23, 2021 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 2301 Airport Boulevard, Wilson, NC 27896Office #2: 2805 N. Park Drive, Goldsboro, NC 27534
BD
CRD#: 25700
Wilson, NC
Past

September 11, 2015 - March 31, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
LA GRANGE, NC
Past

January 12, 2010 - September 16, 2015

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WILSON, NC
Past

November 9, 2009 - September 16, 2015

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WILSON, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC

CRD#: 134086 / SEC#: 801-66368

RIA
Registered Investment Advisory firm - (3/3/2006 Approved)
Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)
California
Registered Investment Advisory firm - (3/8/2006 Terminated)
New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)
New York
Registered Investment Advisory firm - (3/7/2006 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)
Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Alabama
(4/5/2021)
RR
California
(3/23/2021)
RR
Florida
(3/23/2021)
RR
Georgia
(3/23/2021)
RR
Maryland
(5/8/2025)
RR
Michigan
(3/23/2021)
RR
Nevada
(5/8/2025)
RR
New York
(3/23/2021)
IAR
North Carolina
(9/8/2015)
RR
North Carolina
(3/23/2021)
RR
South Carolina
(3/23/2021)
IAR
Texas
(1/16/2018)
RR
Texas
(3/23/2021)
RR
Virginia
(3/23/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/23/2009
Uniform Combined 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: 11/6/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC

CRD#: 134086 / SEC#: 801-66368

RIA
Registered Investment Advisory firm - (3/3/2006 Approved)
Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)
California
Registered Investment Advisory firm - (3/8/2006 Terminated)
New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)
New York
Registered Investment Advisory firm - (3/7/2006 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)
Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)
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Contact information

Main Address
12400 Coit Road Suite 700, Dallas, TX 75251
Mailing Address
Phone number
(972) 665-0878
Established
Firm type
Fiscal year end
# of Employees
132

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LEVEL FOUR ADVISORY SERVICES, LLC FORM ADV PART 2A DTD 9/12/2025 (9/12/2025)
ICA PLATFORM PROGRAM BROCHURE (3/27/2025)
MANAGED ASSETS PROGRAM BROCHURE (3/27/2025)
PARTICIPANT ASSET MANAGEMENT PROGRAM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts14,510
AUM (Assets Under Management)$ 5,320,412,049

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/30/2024
Cover Page
Report
06/30/2023
Cover Page
Report

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 ADVISORY SERVICES

CRD#: 134086Wilson, NC 27896

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