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Level Four Advisory Services CRD 134086
$6.54B regulatory AUM 98 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2021-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors, Inc. | Saint Louis | MO | 05/2016 | 11/2018 |
| Royal Alliance Associates, Inc. | Saint Louis | MO | 11/2018 | 01/2019 |
| Ifs Securities Inc. | Atlanta | GA | 01/2019 | 09/2019 |
| Cabot Lodge Securities Llc | New York | NY | 09/2019 | 03/2020 |
| Level Four Financial, Llc | Dallas | TX | 03/2020 | Present |
| Level Four Advisory Services | Dallas | TX | 12/2021 | Present |
1) Thomas J. Neuner, JD, LLM, not investment related, legal, St. Louis, MO, Owner, 5 hours per month, 1/2 hour during trading hours, draft estate documents (wills, trusts) for legal clients. 2) Thomas J. Neuner, investment related, Life Insurance Sales, St. Louis, MO, Owner, less than 5 hours per month, less than 1 hour during trading hours, write life insurance applications and get quotes on life insurance for clients. 3) T2T ST LOUIS GOLF OUTING, CHARITABLE NOT FOR PROFIT BUSINESS, NOT INVESTMENT RELATED, ASSIST IN OBTAINING HOLE SPONSORS AND GOLFING PARTICIPANTS,14106 WOODS MILL COVE DRIVE, CHESTERFIELD, MO, STARTED 6/1/2025, DEVOTE 1 HOUR PER MONTH AFTER TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-11 |
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