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Employer firm

Level Four Capital Management CRD 304792

$1.38B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Level Four Capital Management

12400 Coit Road Suite 700, Dallas, TX 75251 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-11-23
  • TX RA
    APPROVED
    Since 2019-11-23

Branch Locations

12400 Coit Road Suite 700, Dallas, TX 75251 • United States

Level Four Advisory Services

12400 Coit Road Suite 700, Dallas, TX 75251 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-08-22
  • TX RA
    APPROVED
    Since 2017-08-22

Branch Locations

12400 Coit Road Suite 700, Dallas, TX 75251 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Convergex Execution Solutions Llc New York NY 10/2013 06/2017
Lpl Financial, Llc Plano TX 05/2017 09/2021
Level Four Advisory Services, Llc Plano TX 08/2017 Present
Level Four Financial, Llc Mobile AL 09/2021 Present
  • 10/2013 → 06/2017
    Convergex Execution Solutions Llc
    New York, NY
  • 05/2017 → 09/2021
    Lpl Financial, Llc
    Plano, TX
  • 08/2017 → Present
    Level Four Advisory Services, Llc
    Plano, TX
  • 09/2021 → Present
    Level Four Financial, Llc
    Mobile, AL
Other Businesses

1.10/23/2017 - Level Four Advisory Services, LLC & Level Four Capital Management - Affiliated entities, both Investment Related located at 12400 Coit Road, Suite 700, Dallas TX 75251 - Registered Investment Advisor. I work as a trader for clients of each firm, LFAS Started 08/16/2017 and LFCM Started 8/31/2019. 100% of my time is devoted to these entities during securities trading hours. 2.Monarx Design LLC, Managing Member, non-investment related interior design company that I own with my wife in Prosper TX. I work approximately 20 hours per month with 0 during trading hours. My responsibilities including tracking operational duties and projects.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-08-22
S63 Uniform Securities Agent State Law Examination 2014-03-21
  • S65 Uniform Investment Adviser Law Examination
    2017-08-22
  • S63 Uniform Securities Agent State Law Examination
    2014-03-21

View on SEC IAPD

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