Filer Snapshot

LEVEL FOUR FINANCIAL, LLC SEC EDGAR Filings

SEC filings, ownership reports, and insider transactions for CIK 0000857602.

Entity Type

Company

Total Filings

66

Latest Filing

31 Mar 2025

Industry

n/a

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Business address
12400 Coit Road, Suite 700, Dallas, TX, 75251
Top securities (13F)
AAPL, MSFT, SCHD, AMZN, CFA, ISTB, BSV, VTI, IVV, GOOG, MOAT, META, QQQ, VOO, ABBV, XOM, MGC, VUG, JPM, and JOE
State of incorporation
AL
Fiscal year end
31 December
Former names
HARBOR FINANCIAL SERVICES, LLC (to 10 May 2021), HARBOR FINANCIAL SERVICES LLC (to 26 Feb 2004), BURTON ROE J & CO INC /BD (to 04 Mar 2003)

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Quick Takeaways

  • LEVEL FOUR FINANCIAL, LLC is an SEC filer tracked under CIK 0000857602.
  • 66 filings are listed on this profile.
  • Common form coverage includes X-17A-5, FOCUSN, 13F-HR and more.

What Changed

  • Latest filing: X-17A-5 filed on 31 Mar 2025.
  • Report period: 31 Dec 2024.

Why This Matters

  • You can quote filing dates and form types directly from the SEC record on this page.
  • Use this profile before deeper ownership or insider analysis to confirm filing history context.

Official SEC Source

Official SEC Source

SEC EDGAR submissions for CIK 0000857602.

See Original Filing

Filer Overview

LEVEL FOUR FINANCIAL, LLC has filed 66 SEC EDGAR filings since 12 Mar 2002. Common forms include X-17A-5, FOCUSN, 13F-HR, MA-W and more.

Latest 13F filings

Latest Filings

Recent SEC filings for LEVEL FOUR FINANCIAL, LLC with direct links to document and filing folders.

Form type Document Filing Description Filing date Reporting date File number(s)
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 31 Mar 2025 31 Dec 2024 008-41965
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 31 Mar 2025 31 Dec 2024 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 01 Mar 2024 31 Dec 2023 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 31 Mar 2023 31 Dec 2022 008-41965
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 15 Apr 2022 31 Dec 2021 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 15 Apr 2022 31 Dec 2021 008-41965
13F-HR Open 13F-HR document View SEC filing for 13F-HR 12 Oct 2021 30 Sep 2021 028-20735
13F-HR Open 13F-HR document View SEC filing for 13F-HR 09 Aug 2021 30 Jun 2021 028-20735
13F-HR Open 13F-HR document View SEC filing for 13F-HR 10 May 2021 31 Mar 2021 028-20735
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 02 Mar 2021 31 Dec 2020 008-41965
13F-HR Open 13F-HR document View SEC filing for 13F-HR 12 Feb 2021 31 Dec 2020 028-20735
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 04 Jan 2021 31 Dec 2020 008-41965
MA-W Open MA-W document View SEC filing for MA-W 03 Aug 2020 867-01344
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 03 Aug 2020 868-04454
MA-A Open MA-A document View SEC filing for MA-A 17 Jun 2020 31 Dec 2019 867-01344
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 28 Feb 2020 31 Dec 2019 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Feb 2020 31 Dec 2019 008-41965
MA-A Open MA-A document View SEC filing for MA-A 29 Mar 2019 31 Dec 2018 867-01344
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 01 Mar 2019 31 Dec 2018 008-41965
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 01 Aug 2018 868-04454
MA/A Open MA/A document View SEC filing for MA/A 31 Jul 2018 867-01344
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Feb 2018 31 Dec 2017 008-41965
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 28 Feb 2018 31 Dec 2017 008-41965
MA-A Open MA-A document View SEC filing for MA-A 25 Jan 2018 31 Dec 2017 867-01344
MA/A Open MA/A document View SEC filing for MA/A 17 Aug 2017 867-01344
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 17 Aug 2017 868-04454
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 17 Aug 2017 868-04454
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 17 Aug 2017 868-04454
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 17 Aug 2017 868-04454
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 17 Aug 2017 868-04454
144 Open 144 document View SEC filing for 144 28 Apr 2017
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 02 Mar 2017 31 Dec 2016 008-41965
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 24 Jan 2017 868-04454
MA-A Open MA-A document View SEC filing for MA-A 19 Jan 2017 31 Dec 2016 867-01344
MA-A Open MA-A document View SEC filing for MA-A 11 Aug 2016 31 Dec 2015 867-01344
MA/A Open MA/A document View SEC filing for MA/A 09 Aug 2016 867-01344
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 08 Aug 2016 868-04454
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 26 Feb 2016 31 Dec 2015 008-41965
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 26 Feb 2016 31 Dec 2015 008-41965
MA/A Open MA/A document View SEC filing for MA/A 19 Oct 2015 867-01344
MA-I/A Open MA-I/A document View SEC filing for MA-I/A 16 Oct 2015 868-04454
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 02 Mar 2015 31 Dec 2014 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 02 Mar 2015 31 Dec 2014 008-41965
MA Open MA document View SEC filing for MA 12 Dec 2014 867-01344
MA-I Open MA-I document View SEC filing for MA-I 31 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
MA-I Open MA-I document View SEC filing for MA-I 30 Oct 2014 868-04454
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 04 Mar 2014 31 Dec 2013 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Feb 2013 31 Dec 2012 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Feb 2012 31 Dec 2011 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Feb 2011 31 Dec 2010 008-41965
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 26 Feb 2010 31 Dec 2009 008-41965

About this filer

LEVEL FOUR FINANCIAL, LLC files with the SEC under CIK 0000857602. This page aggregates EDGAR filings and related ownership activity.

FAQ

What is a CIK?
A Central Index Key (CIK) is a unique identifier assigned by the SEC to each filer.
Why are some filings missing?
New filings appear as the SEC updates EDGAR, and older records can vary by availability.
How often is this page updated?
Updates follow new EDGAR submissions and periodic data refreshes.

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