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12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2009-09-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Level Four Advisory Services | Plano | TX | 02/2007 | Present |
| Level Four Financial, Llc | Mobile | AL | 01/2021 | Present |
| Lpl Financail | Plano | TX | 11/2012 | 12/2020 |
1. LEVEL FOUR ADVISORY, LLC, INVESTMENT RELATED, 12400 COIT ROAD, STE 700 DALLAS TX 75251, RIA, IAR, 25 HOURS PER MONTH/ 25 DURING TRADING, START DATE JAN 2021, PROVIDES OPERATIONS SUPPORT FOR RIA. 2. LEVEL FOUR FINANCIAL DBA FOR HARBOR FINANCIAL SERVICES, LLC, INVESTMENT RELATED, 12400 COIT ROAD, STE 700 DALLAS TX 75251, PROVIDES SUPPORT FOR SEUCRITIES BUSINESS. START DATE JAN 2021. 170 HOURS PER MONTH/150 DURING TRADING. 3. LEVEL FOUR GROUP, NOT INVESTMENT RELATED, EMPLOYEE SERVICES HOLDING COMPANY, 12400 COIT ROAD STE 700 DALLAS TX 75251, DIRECTOR OF OPERATIONS, 150 HOURS PER MONTH/150 DURING TRADING, START DATE JUNE 2006. 4. LEVEL FOUR INSURANCE AGENCY, NOT INVESTMENT RELATED, 12400 COIT ROAD, STE 700, DALLAS TX 75251, AGENT, START DATE JUNE 2006, NO HOURS SPENT AT THIS TIME.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-15 |
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