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Level Four Capital Management CRD 304792
$1.38B regulatory AUM
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 |
|---|---|---|---|
| TX | RA | APPROVED | 2019-11-23 |
Branch Locations
12400 Coit Road Suite 700, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-08-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-21 |
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