JOHN BRIAN WORTHY - Investment Adviser at LEVEL FOUR ADVISORY SERVICES

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Detailed ReportReport

JOHN BRIAN WORTHY

BRIAN WORTHY, JAMES BRIAN WORTHY

CRD#: 2116793

Investment Adviser

Broker

LEVEL FOUR ADVISORY SERVICESCRD#: 134086

850 NW Federal Highway Suite 192
Stuart, FL 34994

LEVEL FOUR FINANCIAL, LLCCRD#: 25700

850 NW Federal Highway
#192
STUART, FL 34994

Registration History

Disclosure(s)

View By:

12/28/2009

Customer Dispute

Denied

12/5/2006

Customer Dispute

Denied

12/8/2003

Customer Dispute

Settled

License(s)

State Registrations

Colorado 4/5/2021

New Jersey 12/11/2008

Florida 12/11/2008

New York 9/2/2015

Florida 4/6/2021

North Carolina 1/2/2013

Georgia 12/11/2008

South Carolina 7/11/2016

Indiana 10/6/2020

Utah 6/12/2014

Maine 7/20/2010

SRO Registrations

FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.

Current Registration(s)

LEVEL FOUR ADVISORY SERVICES (CRD#:134086)

850 NW Federal Highway Suite 192, Stuart, FL 34994

Registered with this firm since 4/6/2021

LEVEL FOUR FINANCIAL, LLC (CRD#:25700)

850 NW Federal Highway #192, STUART, FL 34994

Registered with this firm since 12/11/2008

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	12/17/2008 - 12/22/2021	LEVEL FOUR FINANCIAL, LLC (CRD#:25700)	MOBILE, AL
IA	08/31/2007 - 12/10/2008	RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694)	STUART, FL
B	01/17/2006 - 12/10/2008	RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)	STUART, FL
B	07/09/2002 - 01/20/2006	WACHOVIA SECURITIES, LLC (CRD#:19616)	ST. LOUIS, MO
B	02/08/2001 - 08/13/2002	PRIME CAPITAL SERVICES, INC. (CRD#:18334)	POUGHKEEPSIE, NY
B	12/23/1997 - 02/07/2001	INVESTACORP, INC. (CRD#:7684)	MIAMI, FL
B	04/08/1996 - 01/09/1998	GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229)	NORTHRIDGE, CA
B	01/04/1995 - 08/01/1995	PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY (CRD#:7315)	PALM BEACH GARDENS, FL
B	06/14/1993 - 08/30/1994	JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)	BOSTON, MA
B	06/14/1993 - 08/30/1994	JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181)	BOSTON, MA
B	02/01/1991 - 10/20/1992	PRUCO SECURITIES CORPORATION (CRD#:5685)	NEWARK, NJ
B	02/01/1991 - 10/20/1992	THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680)	NEWARK, NJ

LEVEL FOUR FINANCIAL, LLC (CRD#:25700)

MOBILE, AL

12/17/2008 - 12/22/2021

RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694)

STUART, FL

08/31/2007 - 12/10/2008

RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)

STUART, FL

01/17/2006 - 12/10/2008

WACHOVIA SECURITIES, LLC (CRD#:19616)

ST. LOUIS, MO

07/09/2002 - 01/20/2006

PRIME CAPITAL SERVICES, INC. (CRD#:18334)

POUGHKEEPSIE, NY

02/08/2001 - 08/13/2002

INVESTACORP, INC. (CRD#:7684)

MIAMI, FL

12/23/1997 - 02/07/2001

GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229)

NORTHRIDGE, CA

04/08/1996 - 01/09/1998

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY (CRD#:7315)

PALM BEACH GARDENS, FL

01/04/1995 - 08/01/1995

JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)

BOSTON, MA

06/14/1993 - 08/30/1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181)

BOSTON, MA

06/14/1993 - 08/30/1994

PRUCO SECURITIES CORPORATION (CRD#:5685)

NEWARK, NJ

02/01/1991 - 10/20/1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680)

NEWARK, NJ

02/01/1991 - 10/20/1992

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Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.