LEVEL FOUR FINANCIAL, LLC [Rocket]

Date Filed	Type	Description
03/31/2023	X-17A-5	Form X-17A-5 - FOCUS Report:
05/26/2022	FOCUSN	Form FOCUSN - Non-public annual audit reports filed by brokers or dealers:
05/20/2022	X-17A-5	Form X-17A-5 - FOCUS Report:
10/12/2021	13F-HR	Form 13F-HR - Quarterly report filed by institutional managers, Holdings:
08/09/2021	13F-HR	Form 13F-HR - Quarterly report filed by institutional managers, Holdings:
06/15/2021	FOCUSN	Form FOCUSN - Non-public annual audit reports filed by brokers or dealers:
06/04/2021	X-17A-5	Form X-17A-5 - FOCUS Report:
05/10/2021	13F-HR	Form 13F-HR - Quarterly report filed by institutional managers, Holdings:
02/22/2021	FOCUSN	Form FOCUSN - Non-public annual audit reports filed by brokers or dealers:
02/22/2021	X-17A-5	Form X-17A-5 - FOCUS Report:
02/12/2021	13F-HR	Form 13F-HR - Quarterly report filed by institutional managers, Holdings:
09/29/2020	MA-W	Form MA-W - Notice of Withdrawal from Registration as a Municipal Advisor:
08/03/2020	MA-I/A	Form MA-I/A - Application for Municipal Advisor Registration for Natural Persons: [Amend]
07/28/2020	MA-A	Form MA-A - Annual Update of Munipal Advisor Registration for Business Entities:
04/20/2020	X-17A-5	Form X-17A-5 - FOCUS Report:
05/12/2019	MA-A	Form MA-A - Annual Update of Munipal Advisor Registration for Business Entities:
03/01/2019	X-17A-5	Form X-17A-5 - FOCUS Report:
08/03/2018	MA/A	Form MA/A - Municipal Advisor Registration for Business Entities: [Amend]
08/01/2018	MA-I/A	Form MA-I/A - Application for Municipal Advisor Registration for Natural Persons: [Amend]
06/18/2018	X-17A-5	Form X-17A-5 - FOCUS Report:
04/13/2018	FOCUSN	Form FOCUSN - Non-public annual audit reports filed by brokers or dealers:
02/15/2018	MA-A	Form MA-A - Annual Update of Munipal Advisor Registration for Business Entities:
04/27/2017	144	Form 144 - Report of proposed sale of securities
03/16/2017	X-17A-5	Form X-17A-5 - FOCUS Report
03/02/2016	X-17A-5	Form X-17A-5 - FOCUS Report
03/11/2013	X-17A-5	Form X-17A-5 - FOCUS Report
03/10/2011	X-17A-5	Form X-17A-5 - FOCUS Report
05/06/2009	X-17A-5	Form X-17A-5 -- FOCUS Report