Menu
Close

Frequently Asked Questions

 

What do I do if my account information such as my address or employer changes?
Please call your registered representative or 866-834-1040 so we can update your account records.

Who do I make my checks payable to?
Please make your checks payable to the clearing broker dealer, the investment company, or the insurance company where your account is held. If you do not know the name, please contact your registered representative.

Why do you have to verify my identity?
To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify and record information that identifies each person who opens an account.

When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

Who do I contact regarding a complaint I may have about the firm or my registered representative?
Contact “Compliance” at the Home Office at 866-834-1040 or by mail at:

Level Four Financial, LLC
12400 Coit Road,
Suite 700
Dallas, TX 75251
Attn: Compliance

Legal Disclosures

Level Four Financial is committed to providing clients with the information they need to make informed investment decisions. The following pages include important information that clients may wish to consider when making investments with your Level Four Financial advisor:
Client Identification Plan

Client Identification Plan

 

Important Information about Procedures for opening a new account

To help the government fight the funding of Terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account.

What this means for you:

  • When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you.
  • We may also ask to see your Driver’s License or other Identifying documents.

If you would like more information, please click here to contact us.

SEC Order Execution./Routing Disclosure

SEC Order Execution/Routing Disclosure

Click here to review Raymond James’ disclosure on SEC Required Order Execution and Order Routing Information.
 
Social Media

Social Media

Social Media Disclaimer for Level Four Financial, LLC (“LFF”)

  1. LFF financial advisors may only conduct business with residents of the states and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Please note that not all of the investments and services mentioned are available in every state. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site.
  2. Our independent financial advisors may also be involved in other business entities, including their own registered investment advisor firms and/or independent insurance relationships, unrelated to their association with LFF. These entities are completely independent of LFF. LFF serves as the broker/dealer of record for your investment securities accounts only.
  3. Securities are offered through Level Four Financial, LLC. Member FINRA/SIPC, and are not insured by bank or credit union insurance, the FDIC, the NCUA or any other government agency, are not deposits or obligations of the bank or credit union, are not guaranteed by the bank or credit union, and are subject to risks, including the possible loss of principal.
  4. Any links to third-party content are provided for information purposes only. LFF does not endorse, authorize or sponsor the content or its respective sponsors. LFF is not responsible for the content of the website or the collection or use of information regarding the website’s users and/or members.
  5. Investment advisory services are offered through Level Four Advisory Services, LLC.
  6. For Twitter Retweets and Facebook or LinkedIn Shares: Views expressed in these posts are the current opinion of the author, but not necessarily those of LFF or your financial advisor. The author’s opinions are subject to change without notice. The information shared was received from sources believed to be reliable, but accuracy is not guaranteed.
  7. Any person or entity endorsed or recommended is not affiliated with LFF. These opinions are not necessarily those of LFF.
  8. Every investor’s situation is unique. You should consider your investment goals, risk tolerance and time horizon and contact a qualified professional regarding your particular situation before making any investment.
  9. As federal and state tax rules are subject to frequent changes, you should consult with a qualified tax advisor prior to making any investment decision.