Randall B. Barnett
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.
Randall Bruce Barnett was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1981. Randall had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2007 - July 29, 2014
LEVEL FOUR FINANCIAL, LLC
February 16, 2007 - July 29, 2014
LEVEL FOUR FINANCIAL, LLC
November 12, 1997 - February 21, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 12, 1997 - February 21, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 28, 1997 - November 12, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 5, 1990 - November 7, 1997
ESSEX FINANCIAL SERVICES, INC.
April 13, 1981 - April 12, 1990
ESSEX COMPANY
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.
