Full text of LEVEL FOUR FINANCIAL, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-S | | PART Ill | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-41965 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | | ----------<br>-----------<br>FILING FOR THE PERIOD BEGINNING 01101122<br>AND ENDING 12131122 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|-----------------------------------------|------------------------------------------------|--|--| | | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: LEVEL FOUR FINANCIAL, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Iii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 12400 COIT ROAD, SUITE 700 | | | | | | | | (No. and Street) | | | | | | DALLAS | TX | | 75251 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Thomas Hopkins | 603-216-8933 | | thopkins@foreside.com | | | | {Name) | (Area Code - Telephone Number) | {Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Goldman & Company CPAs PC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 3535 Roswell Road - Suite 32 | Marietta | GA | 30062 | | | | {Address) | {City) | {State) | (Zip Code) | | | | 06/25/2009 | | 1952 | | | | | rte of<br>R,g;straUoo w;th PCAOB)l;f apPh<abl•I FOR OFFICIAL USE ONL V | | | I<br>(PCAOB R,g;,tc,t;oo N,mbec, ;f apphcable) | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemptio…Read the full text as markdown