Lacey Elizabeth Buteyn (also known as Lacey Elizabeth DePue), of Plano, Texas, a stockbroker registered with Level Four Financial LLC, was permitted to resign on November 3, 2023, based on allegations that Buteyn violated regulatory standards in connection with the sale of variable annuities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally shows that on July 15, 2019, a customer filed an investment related complaint involving Buteyn’s conduct, requesting compensatory damages. The allegations stated that Buteyn made unsuitable recommendations in private securities when associated with Williams Financial. The complaint was closed without resolution on April 7, 2020.
Buteyn has been associated with Kingswood Capital Partners LLC in San Diego, California, as a stockbroker since December 20, 2023, and with Kingswood Wealth Advisors LLC in Plano, Texas, as an investment advisor representative since January 2, 2024. Previously, Buteyn was associated with Level Four Financial LLC in Plano, Texas, from April 20, 2021, to November 14, 2023; with Level Four Advisory Services in Dallas, Texas, from March 26, 2014, to November 14, 2023; and with LPL Financial LLC in Dallas, Texas, from May 16, 2013, to April 30, 2021.
