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ALAN RAY TIPTON JR
ALAN TIPTON JR
CRD#: 2282325
IA
B
LEVEL FOUR ADVISORY SERVICESCRD#: 134086 6425 Youree Drive, Suite 260
Shreveport, LA 71105
Shreveport, LA 71105
LEVEL FOUR FINANCIAL, LLCCRD#: 25700 6425 YOUREE DRIVE
SUITE 420
SHREVEPORT, LA 71105
SUITE 420
SHREVEPORT, LA 71105
0
Disclosures
32
Years of Experience
View By:
State Registrations
B
Alabama 6/15/2021
IA
Louisiana 5/13/2014
B
Arkansas 6/7/2021
B
Louisiana 6/7/2021
B
California 6/7/2021
B
Oklahoma 6/7/2021
B
Colorado 6/7/2021
B
Oregon 6/7/2021
B
Florida 6/7/2021
B
Tennessee 8/1/2024
B
Georgia 6/7/2021
IA
Texas 12/2/2016
B
Indiana 1/3/2023
B
Texas 6/7/2021
SRO Registrations
B
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IA
Registered with this firm since 5/13/2014
B
Registered with this firm since 6/7/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/10/2009 - 06/15/2021 | SHREVEPORT, LA | |
IA | 07/10/2009 - 06/13/2014 | SHREVEPORT, LA | |
IA | 02/26/2008 - 07/13/2009 | SHREVEPORT, LA | |
B | 09/12/2000 - 07/13/2009 | SHREVEPORT, LA | |
B | 10/06/1994 - 10/02/2000 | NEW ORLEANS, LA | |
B | 01/04/1993 - 09/02/1994 | MEMPHIS, TN |
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.