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Detailed Report
CHARLES RAYMOND SHIMER III
CHARLES RAYMOND SHIMER, RAY SHIMER
CRD#: 4605945
IA
Investment Adviser
B
Broker
LEVEL FOUR CAPITAL MANAGEMENTCRD#: 304792 1692 E. Arlington Blvd
Greenville, NC 27858
LEVEL FOUR FINANCIAL, LLCCRD#: 25700 1692 E. ARLINGTON BOULEVARD
GREENVILLE, NC 27858
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2015 (9 years)IALEVEL FOUR CAPITAL MANAGEMENT (CRD# 304792)2019 - Present (5 years)IALEVEL FOUR ADVISORY SERVICES (CRD# 134086)2015 - Present (10 years)BLEVEL FOUR FINANCIAL, LLC (CRD# 25700)2021 - Present (3 years)BLPL FINANCIAL LLC (CRD# 6413)2015 - 2021 (6 years)BMONY SECURITIES CORPORATION (CRD# 4386)2003 - 2005 (1 year)BTRUSTED SECURITIES ADVISORS CORP. (CRD# 24049)2002 - 2003 (1 year)IAMONY SECURITIES CORPORATION (CRD# 4386)2005 - 2005 (<1 year)
License(s)

State Registrations

IA
North Carolina 2/9/2015
B
North Carolina 9/24/2021

SRO Registrations

B
 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)
IA
LEVEL FOUR CAPITAL MANAGEMENT (CRD#:304792)
1692 E. Arlington Blvd, Greenville, NC 27858
Registered with this firm since 11/23/2019
IA
LEVEL FOUR ADVISORY SERVICES (CRD#:134086)
1692 E.Arlington Boulevard, Greenville, NC 27858
Registered with this firm since 2/9/2015
B
LEVEL FOUR FINANCIAL, LLC (CRD#:25700)
1692 E. ARLINGTON BOULEVARD, GREENVILLE, NC 27858
Registered with this firm since 9/3/2021
Previous Registration(s)
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B
 02/02/2015 - 09/21/2021 LPL FINANCIAL LLC (CRD#:6413) GREENVILLE, NC
IA
 06/01/2005 - 02/04/2015 AXA ADVISORS, LLC (CRD#:6627) LAGRANGE, NC
B
 06/01/2005 - 02/04/2015 AXA ADVISORS, LLC (CRD#:6627) LAGRANGE, NC
IA
 02/23/2005 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) LAGRANGE, NC
B
 12/02/2003 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
B
 11/27/2002 - 12/02/2003 TRUSTED SECURITIES ADVISORS CORP. (CRD#:24049) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.