Compliance Director

0001085146-21-002281.txt : 20210809 0001085146-21-002281.hdr.sgml : 20210809 20210809124614 ACCESSION NUMBER: 0001085146-21-002281 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210809 DATE AS OF CHANGE: 20210809 EFFECTIVENESS DATE: 20210809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LEVEL FOUR FINANCIAL, LLC CENTRAL INDEX KEY: 0000857602 IRS NUMBER: 200629176 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20735 FILM NUMBER: 211155650 BUSINESS ADDRESS: STREET 1: RSA BATTLEHOUSE TOWER STREET 2: 11 NORTH WATER STREET, STE 21290 CITY: MOBILE STATE: AL ZIP: 36602 BUSINESS PHONE: 251-445-2434 MAIL ADDRESS: STREET 1: RSA BATTLEHOUSE TOWER STREET 2: 11 NORTH WATER STREET, STE 21290 CITY: MOBILE STATE: AL ZIP: 36602 FORMER COMPANY: FORMER CONFORMED NAME: HARBOR FINANCIAL SERVICES, LLC DATE OF NAME CHANGE: 20040326 FORMER COMPANY: FORMER CONFORMED NAME: J. ROE BURTON & CO. INC. DATE OF NAME CHANGE: 20040325 FORMER COMPANY: FORMER CONFORMED NAME: HARBOR FINANCIAL SERVICES, LLC DATE OF NAME CHANGE: 20040325 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000857602 XXXXXXXX 06-30-2021 06-30-2021 false LEVEL FOUR FINANCIAL, LLC

RSA BATTLEHOUSE TOWER 11 NORTH WATER STREET, STE 21290 MOBILE AL 36602

13F HOLDINGS REPORT 028-20735 N Kimberly K. Miller Compliance Director 972 284 5478 /s/Kimberly K. 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TR 0-5YR HI YL CP 46434V407 339 7369 SH SOLE 0 0 7369 ISHARES TR 0-5YR INVT GR CP 46434V100 346 6675 SH SOLE 0 0 6675 ISHARES TR CONV BD ETF 46435G102 229 2246 SH SOLE 0 0 2246 ISHARES TR CORE 1 5 YR USD 46432F859 3830 74677 SH SOLE 0 0 74677 ISHARES TR CORE DIV GRWTH 46434V621 1588 31530 SH SOLE 0 0 31530 ISHARES TR CORE MSCI EAFE 46432F842 439 5865 SH SOLE 0 0 5865 ISHARES TR CORE MSCI TOTAL 46432F834 301 4113 SH SOLE 0 0 4113 ISHARES TR CORE S&P MCP ETF 464287507 643 2391 SH SOLE 0 0 2391 ISHARES TR CORE S&P SCP ETF 464287804 540 4778 SH SOLE 0 0 4778 ISHARES TR CORE S&P TTL STK 464287150 1232 12478 SH SOLE 0 0 12478 ISHARES TR CORE S&P500 ETF 464287200 3548 8254 SH SOLE 0 0 8254 ISHARES TR CORE US AGGBD ET 464287226 1429 12392 SH SOLE 0 0 12392 ISHARES TR IBOXX HI YD ETF 464288513 212 2406 SH SOLE 0 0 2406 ISHARES TR IBOXX INV CP ETF 464287242 970 7219 SH SOLE 0 0 7219 ISHARES TR INTL SEL DIV ETF 464288448 1288 39750 SH SOLE 0 0 39750 ISHARES TR MRGSTR MD CP GRW 464288307 240 3486 SH SOLE 0 0 3486 ISHARES TR MSCI EAFE ETF 464287465 354 4485 SH SOLE 0 0 4485 ISHARES TR MSCI EAFE MIN VL 46429B689 223 2952 SH SOLE 0 0 2952 ISHARES TR MSCI EMG MKT ETF 464287234 204 3694 SH SOLE 0 0 3694 ISHARES TR MSCI PHILIPS ETF 46429B408 285 9205 SH SOLE 0 0 9205 ISHARES TR MSCI USA MIN VOL 46429B697 445 6044 SH SOLE 0 0 6044 ISHARES TR MSCI USA MMENTM 46432F396 1350 7785 SH SOLE 0 0 7785 ISHARES TR NATIONAL MUN ETF 464288414 344 2932 SH SOLE 0 0 2932 ISHARES TR RUS 1000 GRW ETF 464287614 925 3408 SH SOLE 0 0 3408 ISHARES TR RUS 1000 VAL ETF 464287598 1470 9270 SH SOLE 0 0 9270 ISHARES TR RUS 2000 VAL ETF 464287630 469 2830 SH SOLE 0 0 2830 ISHARES TR RUSSELL 2000 ETF 464287655 551 2400 SH SOLE 0 0 2400 ISHARES TR RUSSELL 3000 ETF 464287689 234 916 SH SOLE 0 0 916 ISHARES TR S&P 100 ETF 464287101 392 1997 SH SOLE 0 0 1997 ISHARES TR S&P 500 GRWT ETF 464287309 737 10133 SH SOLE 0 0 10133 ISHARES TR SELECT DIVID ETF 464287168 965 8277 SH SOLE 0 0 8277 ISHARES TR TIPS BD ETF 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LOCKHEED MARTIN CORP COM 539830109 0 500 SH Call SOLE 0 0 500 LOWES COS INC COM 548661107 246 1270 SH SOLE 0 0 1270 LULULEMON ATHLETICA INC COM 550021109 237 649 SH SOLE 0 0 649 MARATHON OIL CORP COM 565849106 409 30041 SH SOLE 0 0 30041 MARATHON PETE CORP COM 56585A102 616 10197 SH SOLE 0 0 10197 MCDONALDS CORP COM 580135101 448 1939 SH SOLE 0 0 1939 MEDICAL PPTYS TRUST INC COM 58463J304 272 13533 SH SOLE 0 0 13533 MEDTRONIC PLC SHS G5960L103 390 3145 SH SOLE 0 0 3145 MERCK & CO INC COM 58933Y105 629 8091 SH SOLE 0 0 8091 MICROCHIP TECHNOLOGY INC. COM 595017104 288 1920 SH SOLE 0 0 1920 MICROSOFT CORP COM 594918104 5087 18778 SH SOLE 0 0 18778 MICT INC COM 55328R109 49 21100 SH SOLE 0 0 21100 MODERNA INC COM 60770K107 250 1066 SH SOLE 0 0 1066 MONDAY COM LTD SHS M7S64H106 472 2112 SH SOLE 0 0 2112 MONEYGRAM INTL INC COM NEW 60935Y208 136 13500 SH SOLE 0 0 13500 MOTOROLA SOLUTIONS INC COM NEW 620076307 217 1000 SH SOLE 0 0 1000 NCINO INC COM 63947U107 790 13176 SH SOLE 0 0 13176 NEXTERA ENERGY INC COM 65339F101 419 5725 SH SOLE 0 0 5725 NIKE INC CL B 654106103 273 1767 SH SOLE 0 0 1767 NOKIA CORP SPONSORED ADR 654902204 15 2750 SH SOLE 0 0 2750 NOKIA CORP SPONSORED ADR 654902204 29 65600 SH Call SOLE 0 0 65600 NOVA MEASURING INSTRUMENTS L COM M7516K103 238 2316 SH SOLE 0 0 2316 NUCOR CORP COM 670346105 207 2160 SH SOLE 0 0 2160 NUVEEN MUN VALUE FD INC COM 670928100 241 20877 SH SOLE 0 0 20877 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 250 25000 SH SOLE 0 0 25000 NVIDIA CORPORATION COM 67066G104 1583 1978 SH SOLE 0 0 1978 ONE GAS INC COM 68235P108 213 2876 SH SOLE 0 0 2876 ONEMAIN HLDGS INC COM 68268W103 324 5407 SH SOLE 0 0 5407 ONEOK INC NEW COM 682680103 936 16818 SH SOLE 0 0 16818 ORACLE CORP COM 68389X105 384 4935 SH SOLE 0 0 4935 OREILLY AUTOMOTIVE INC COM 67103H107 300 530 SH SOLE 0 0 530 PACER FDS TR PACER US SMALL 69374H857 322 7228 SH SOLE 0 0 7228 PACER FDS TR TRENDPILOT US BD 69374H642 219 7913 SH SOLE 0 0 7913 PAYPAL HLDGS INC COM 70450Y103 415 1425 SH SOLE 0 0 1425 PAYSAFE LIMITED ORD G6964L107 363 30000 SH SOLE 0 0 30000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 10 10000 PRN SOLE 0 0 10000 PELOTON INTERACTIVE INC CL A COM 70614W100 239 1924 SH SOLE 0 0 1924 PENN NATL GAMING INC COM 707569109 200 2619 SH SOLE 0 0 2619 PEPSICO INC COM 713448108 827 5581 SH SOLE 0 0 5581 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 953 41883 SH SOLE 0 0 41883 PFIZER INC COM 717081103 816 20835 SH SOLE 0 0 20835 PFIZER INC COM 717081103 1 2000 SH Call SOLE 0 0 2000 PHILIP MORRIS INTL INC COM 718172109 704 7099 SH SOLE 0 0 7099 PHILLIPS 66 COM 718546104 377 4392 SH SOLE 0 0 4392 PHYSICIANS RLTY TR COM 71943U104 489 26465 SH SOLE 0 0 26465 PINE IS ACQUISITION CORP UNIT 99/99/9999 722615200 499 49354 SH SOLE 0 0 49354 PIONEER NAT RES CO COM 723787107 250 1537 SH SOLE 0 0 1537 POSHMARK INC COM CL A 73739W104 348 7299 SH SOLE 0 0 7299 PPL CORP COM 69351T106 858 30675 SH SOLE 0 0 30675 PROCTER AND GAMBLE CO COM 742718109 662 4906 SH SOLE 0 0 4906 PROSHARES TR S&P 500 DV ARIST 74348A467 599 6605 SH SOLE 0 0 6605 PUBLIC STORAGE COM 74460D109 223 740 SH SOLE 0 0 740 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 343 73524 SH SOLE 0 0 73524 QUALCOMM INC COM 747525103 311 2176 SH SOLE 0 0 2176 RAYTHEON TECHNOLOGIES CORP COM 75513E101 465 5456 SH SOLE 0 0 5456 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 50 50000 PRN SOLE 0 0 50000 REGIONS FINANCIAL CORP NEW COM 7591EP100 541 26805 SH SOLE 0 0 26805 ROKU INC COM CL A 77543R102 632 1377 SH SOLE 0 0 1377 ROYAL BK CDA COM 780087102 395 3900 SH SOLE 0 0 3900 RYDER SYS INC COM 783549108 202 2717 SH SOLE 0 0 2717 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 6097 80624 SH SOLE 0 0 80624 SEA LTD SPONSORD ADS 81141R100 540 1968 SH SOLE 0 0 1968 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 355 4382 SH SOLE 0 0 4382 SELECT SECTOR SPDR TR ENERGY 81369Y506 1216 22576 SH SOLE 0 0 22576 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 1292 35221 SH SOLE 0 0 35221 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 818 6494 SH SOLE 0 0 6494 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 796 7775 SH SOLE 0 0 7775 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 315 3831 SH SOLE 0 0 3831 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1723 11670 SH SOLE 0 0 11670 SERVISFIRST BANCSHARES INC COM 81768T108 1224 18000 SH SOLE 0 0 18000 SHOPIFY INC CL A 82509L107 1262 864 SH SOLE 0 0 864 SIGNATURE BK NEW YORK N Y COM 82669G104 411 1675 SH SOLE 0 0 1675 SIGNET JEWELERS LIMITED SHS G81276100 250 3094 SH SOLE 0 0 3094 SLACK TECHNOLOGIES INC COM CL A 83088V102 226 5100 SH SOLE 0 0 5100 SNOWFLAKE INC CL A 833445109 488 2020 SH SOLE 0 0 2020 SOLITON INC COM 834251100 215 9556 SH SOLE 0 0 9556 SOUTHERN CO COM 842587107 2049 33862 SH SOLE 0 0 33862 SOUTHWEST AIRLS CO COM 844741108 362 6818 SH SOLE 0 0 6818 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 259 750 SH SOLE 0 0 750 SPDR GOLD TR GOLD SHS 78463V107 356 2152 SH SOLE 0 0 2152 SPDR S&P 500 ETF TR TR UNIT 78462F103 1819 4249 SH SOLE 0 0 4249 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 100 SH Put SOLE 0 0 100 SPDR SER TR AEROSPACE DEF 78464A631 235 1775 SH SOLE 0 0 1775 SPDR SER TR PORTFOLIO LN TSR 78464A664 1069 25890 SH SOLE 0 0 25890 SPDR SER TR S&P HOMEBUILD 78464A888 407 5555 SH SOLE 0 0 5555 SPDR SER TR S&P OILGAS EXP 78468R556 516 5335 SH SOLE 0 0 5335 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 222 11876 SH SOLE 0 0 11876 SQUARE INC CL A 852234103 260 1065 SH SOLE 0 0 1065 ST JOE CO COM 790148100 1419 31800 SH SOLE 0 0 31800 STAR BULK CARRIERS CORP. SHS PAR Y8162K204 557 24255 SH SOLE 0 0 24255 STEEL DYNAMICS INC COM 858119100 204 3428 SH SOLE 0 0 3428 SURGERY PARTNERS INC COM 86881A100 590 8850 SH SOLE 0 0 8850 SVB FINANCIAL GROUP COM 78486Q101 296 532 SH SOLE 0 0 532 SYNCHRONY FINANCIAL COM 87165B103 228 4699 SH SOLE 0 0 4699 TANDEM DIABETES CARE INC COM NEW 875372203 307 3153 SH SOLE 0 0 3153 TARGET CORP COM 87612E106 299 1237 SH SOLE 0 0 1237 TESLA INC COM 88160R101 1172 1724 SH SOLE 0 0 1724 TESLA INC COM 88160R101 0 100 SH Call SOLE 0 0 100 TEXAS INSTRS INC COM 882508104 280 1455 SH SOLE 0 0 1455 THE TRADE DESK INC COM CL A 88339J105 880 11380 SH SOLE 0 0 11380 THERATECHNOLOGIES INC NOTE 5.750% 6/3 88338HAA8 70 80000 PRN SOLE 0 0 80000 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 366 2096 SH SOLE 0 0 2096 TRACTOR SUPPLY CO COM 892356106 473 2543 SH SOLE 0 0 2543 TREX CO INC COM 89531P105 321 3141 SH SOLE 0 0 3141 TWITTER INC COM 90184L102 361 5243 SH SOLE 0 0 5243 UBER TECHNOLOGIES INC COM 90353T100 325 6493 SH SOLE 0 0 6493 ULTRA CLEAN HLDGS INC COM 90385V107 808 15050 SH SOLE 0 0 15050 UNION PAC CORP COM 907818108 388 1764 SH SOLE 0 0 1764 UNITED STS GASOLINE FD LP UNITS 91201T102 425 11850 SH SOLE 0 0 11850 UNITEDHEALTH GROUP INC COM 91324P102 416 1039 SH SOLE 0 0 1039 VALERO ENERGY CORP COM 91913Y100 278 3559 SH SOLE 0 0 3559 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 2982 40263 SH SOLE 0 0 40263 VANECK VECTORS ETF TR OIL SVCS ETF 92189H607 378 1726 SH SOLE 0 0 1726 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 254 968 SH SOLE 0 0 968 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 405 2224 SH SOLE 0 0 2224 VANGUARD BD INDEX FDS INTERMED TERM 921937819 223 2477 SH SOLE 0 0 2477 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 3783 46048 SH SOLE 0 0 46048 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 417 4860 SH SOLE 0 0 4860 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 975 17070 SH SOLE 0 0 17070 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 818 4335 SH SOLE 0 0 4335 VANGUARD INDEX FDS GROWTH ETF 922908736 2327 8112 SH SOLE 0 0 8112 VANGUARD INDEX FDS MID CAP ETF 922908629 216 910 SH SOLE 0 0 910 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3137 7970 SH SOLE 0 0 7970 VANGUARD INDEX FDS SMALL CP ETF 922908751 531 2357 SH SOLE 0 0 2357 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3524 15814 SH SOLE 0 0 15814 VANGUARD INDEX FDS VALUE ETF 922908744 1706 12409 SH SOLE 0 0 12409 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 822 15141 SH SOLE 0 0 15141 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 521 6333 SH SOLE 0 0 6333 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 943 9919 SH SOLE 0 0 9919 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 328 5336 SH SOLE 0 0 5336 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 679 8207 SH SOLE 0 0 8207 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 321 4611 SH SOLE 0 0 4611 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 567 6130 SH SOLE 0 0 6130 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 2124 13720 SH SOLE 0 0 13720 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1099 10490 SH SOLE 0 0 10490 VANGUARD WORLD FD MEGA CAP INDEX 921910873 2436 15994 SH SOLE 0 0 15994 VANGUARD WORLD FD MEGA GRWTH IND 921910816 1019 4405 SH SOLE 0 0 4405 VANGUARD WORLD FDS ENERGY ETF 92204A306 339 4470 SH SOLE 0 0 4470 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 1140 12599 SH SOLE 0 0 12599 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 665 2691 SH SOLE 0 0 2691 VANGUARD WORLD FDS INF TECH ETF 92204A702 971 2434 SH SOLE 0 0 2434 VERITIV CORP COM 923454102 410 6674 SH SOLE 0 0 6674 VERIZON COMMUNICATIONS INC COM 92343V104 2157 38494 SH SOLE 0 0 38494 VIACOMCBS INC CL B 92556H206 294 6494 SH SOLE 0 0 6494 VICTORY PORTFOLIOS II VCSHS US 500 ENH 92647N782 1273 17842 SH SOLE 0 0 17842 VICTORY PORTFOLIOS II VCSHS US 500 VOL 92647N766 4686 65755 SH SOLE 0 0 65755 VICTORY PORTFOLIOS II VCSHS US EQ INCM 92647N824 1361 21064 SH SOLE 0 0 21064 VIRTUS DIVIDEND INTEREST & P COM 92840R101 172 11400 SH SOLE 0 0 11400 VISA INC COM CL A 92826C839 514 2198 SH SOLE 0 0 2198 WALMART INC COM 931142103 1771 12558 SH SOLE 0 0 12558 WALMART INC COM 931142103 2 500 SH Call SOLE 0 0 500 WESCO INTL INC COM 95082P105 432 4197 SH SOLE 0 0 4197 WESTLAKE CHEM CORP COM 960413102 225 2500 SH SOLE 0 0 2500 WEYERHAEUSER CO MTN BE COM NEW 962166104 1151 33449 SH SOLE 0 0 33449 WISDOMTREE TR FLOATNG RAT TREA 97717X628 453 18022 SH SOLE 0 0 18022 ZIM INTEGRATED SHIPPING SERV SHS M9T951109 426 9486 SH SOLE 0 0 9486