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KIMBERLY KAY MILLER
KIM MILLER, KIMBERLY KAY RITTENHOUSE
CRD#: 4175240
IA
Investment Adviser
B
Broker
LEVEL FOUR ADVISORY SERVICESCRD#: 134086 12400 COIT ROAD
SUITE 700
DALLAS, TX 75251
LEVEL FOUR FINANCIAL, LLCCRD#: 25700 12400 Coit Road
Suite 700
Dallas, TX 75251
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2015 - 2017 (1 year)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - 2020 (<1 year)3 FIRMS2021 - Present (3 years)BHILLTOP SECURITIES INDEPENDENT... (CRD# 17587)2013 - 2017 (4 years)BHILLTOP SECURITIES INC. (CRD# 6220)2012 - 2017 (5 years)BPENSON FINANCIAL SERVICES, INC. (CRD# 25866)2004 - 2012 (8 years)BPENSON EXECUTION SERVICES, INC. (CRD# 115294)2009 - 2012 (2 years)
Disclosure(s)
View By:
8/20/2024
Financial
Final
License(s)

State Registrations

B
Alabama 3/31/2021

IA
Texas 3/10/2021

B
Texas 3/10/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LEVEL FOUR FINANCIAL, LLC (CRD#:25700)
12400 Coit Road Suite 700, Dallas, TX 75251
PALMER, TX
Registered with this firm since 3/10/2021

IA
LEVEL FOUR ADVISORY SERVICES (CRD#:134086)
12400 COIT ROAD SUITE 700, DALLAS, TX 75251
Registered with this firm since 3/10/2021

B
CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C. (CRD#:154996)
12400 Coit Road SUITE 700, DALLAS, TX 75251
Registered with this firm since 3/31/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/26/2019 - 07/01/2020 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) AUSTIN, TX
B
08/26/2019 - 07/01/2020 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) AUSTIN, TX
IA
06/09/2017 - 08/01/2019 CAPITAL ONE ADVISORS, LLC (CRD#:136865) Plano, TX
B
06/09/2017 - 07/23/2019 CAPITAL ONE INVESTING, LLC (CRD#:45744) Plano, TX
IA
09/25/2015 - 06/07/2017 HILLTOP SECURITIES INDEPENDENT NETWORK INC. (CRD#:17587) DALLAS, TX
IA
05/18/2015 - 06/07/2017 HILLTOP SECURITIES INC. (CRD#:6220) DALLAS, TX
B
03/19/2013 - 06/07/2017 HILLTOP SECURITIES INDEPENDENT NETWORK INC. (CRD#:17587) DALLAS, TX
B
04/30/2012 - 06/07/2017 HILLTOP SECURITIES INC. (CRD#:6220) DALLAS, TX
B
04/12/2004 - 04/30/2012 PENSON FINANCIAL SERVICES, INC. (CRD#:25866) DALLAS, TX
B
07/08/2009 - 03/28/2012 PENSON EXECUTION SERVICES, INC. (CRD#:115294) DALLAS, TX
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B
Broker
IA
Investment Adviser
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.