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MATTHEW RAY ROGERS
CRD#: 5072619
IA
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LEVEL FOUR ADVISORY SERVICESCRD#: 134086 7868 US Highway 70W
P.O. Box 186
La Grange, NC 28551
P.O. Box 186
La Grange, NC 28551
LEVEL FOUR FINANCIAL, LLCCRD#: 25700 2805 N. Park Drive
Goldsboro, NC 27534
Goldsboro, NC 27534
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Disclosures
19
Years of Experience
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State Registrations
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North Carolina 5/9/2017
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North Carolina 9/24/2021
SRO Registrations
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Registered with this firm since 5/9/2017
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Registered with this firm since 9/3/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/11/2015 - 09/21/2021 | GREENVILLE, NC | |
IA | 01/23/2006 - 09/16/2015 | GREENVILLE, NC | |
B | 01/19/2006 - 09/16/2015 | GREENVILLE, NC |
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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.
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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.