Lacey Buteyn No Longer Registered with Level Four Financial

Lacey Buteyn (CRD #: 4420482) was permitted to resign by Level Four Financial. This disclosure appears on her BrokerCheck record, accessed on December 14, 2023. Keep reading if you have questions or concerns about her alleged conduct as a broker. 

On November 3, 2023, Level Four Financial alleged that a legal department of one of the firm’s annuity carriers contacted them on October 27, 2023. Based on the information provided by the carrier, an internal review was conducted, and the firm allegedly determined that Lacey Buteyn acted outside of regulatory standards of conduct. She was permitted to resign. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Acting outside of regulatory standards of conduct may violate this rule. 

Background Information 

Lacey Buteyn has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination

She has previously registered with the following four firms: 

• Level Four Financial (CRD #: 25700) 
• LPL Financial (CRD #: 6413) 
• WFG Investments (CRD #: 22704) 
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help 

If you have worked with Lacy Buteyn and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.