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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

Samuel Lee Williams

Advisor at LEVEL FOUR ADVISORY SERVICES

DALLAS, TX

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Search this name across graphsid dfx:ria:a76bafa2-2c45-b533-4449-67dd426b97d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LEVEL FOUR ADVISORY SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 25, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 25, 2002
First registration: Jun 26, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4409918

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LEVEL FOUR ADVISORY SERVICES	Bd affiliated wealth	Dec 21, 2021	n/a	yes	DALLAS, TX	Current employment
COMPASS CAPITAL CORPORATION	Independent wealth	Mar 6, 2018	Jun 21, 2019	no	RALEIGH, NC\|BRAINTREE, MA	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Oct 22, 2004	Mar 6, 2018	no	RALEIGH, NC\|RALEIGH, NC	Previous registration
Powelljohnson	n/a	Feb 2, 2004	Nov 1, 2004	no	RALEIGH, NC	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Jun 26, 2002	Feb 9, 2004	no	RALEIGH, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COMPASS CAPITAL CORPORATION	LEVEL FOUR ADVISORY SERVICES	Jun 21, 2019	Dec 21, 2021	914	Firm change after gap	RIA to ibd
STIFEL, NICOLAUS & COMPANY, INCORPORATED	COMPASS CAPITAL CORPORATION	Mar 6, 2018	Mar 6, 2018	0	Firm change	Other
Powelljohnson	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Nov 1, 2004	Oct 22, 2004	-10	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	Powelljohnson	Feb 9, 2004	Feb 2, 2004	-7	Firm change	Other

Relationships

Registered with (5)

→ LEVEL FOUR ADVISORY SERVICESRegistered adviserregistration: current employment
Dec 21, 2021 to presentfactForm ADV
→ COMPASS CAPITAL CORPORATIONRegistered adviserregistration: previous registration
Mar 6, 2018 to Jun 21, 2019factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Oct 22, 2004 to Mar 6, 2018factForm ADV
→ POWELLJOHNSONRegistered adviserregistration: previous registration
Feb 2, 2004 to Nov 1, 2004factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Jun 26, 2002 to Feb 9, 2004factForm ADV

Dated events

No dated event names this entity yet.