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Brokerage Forms

Form CRS & Document Disclosures 

Jotform

LFF172- Exchange Traded Product Risk Disclosure

(existing accounts)

Jotform

LF172C - Crypto Disclosure

Jotform

LFF166 Mutual Fund Break Point Disclosure JotForm

Jotform

New Accounts Form Wizard

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Level Four Financial Forms Library

New Branding - November 2024
LF003 - Trade Error Correction ReportLFF008 - Emergency Contact Consent FormLFF015 - Annuity Offer DisclosureLFF016 - Insurance Annuity Surrender DisclosureLFF017 - Firelight InsuranceLFF018 - Information Security Incident ReportLFF019 - Senior Incident FormLFF029 - Preliminary Suspicious Activity ReportLFF105 - Mutual Fund Switch LetterLFF108 - LOA to Transfer FundsLFF109 - Unsolicited Trade LetterLFF112 - Outside Activity Client DisclosureLF126 - 529 Due Diligence FormLF136 - Financial Institution Client DisclosureLFF147 - Information Penny StockLF150 Retirement Plan Services AgreementLF150 Supp Retirement Plan Services AgreementLF152-Split Code FormLFF154 - Insurance & Annuity Change FormLFF158 - Annuity Policy Receipt FormLFF160 - High Risk Taxable Fixed Income Security LetterLFF182 - Limited Power of Attorney
LFF188-A - Variable Life Insurance Addendum
LFF186 - Structured Products Account ApprovalLFF188 - Annuity Purchase DisclosureLFF188-A - Variable Life Insurance AddendumLF189 - Transfer Rollover Due Diligence FormLF192 - Alternative Investment Disclosure FormNew York Regulation 194 187 DisclosureLFF197 - Authorization to Retain Client InformationLF201 - Consent to Disclose Personally Identifiable Information
LF300 Electronic Delivery Consent
LFF1159 - Corporate Resolution – Cash and Margin Short Sale AccountsCustomer Identification Program (CIP) NoticeUnderstanding Mutual Fund ClassesLF300 - Electronic Delivery Consent
Disclosure
LF305 – SBLOC Checklist and Disclosure Forms

Equity linked Notes

Equity Linked Notes – Order and Instruction Spreadsheet

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Securities offered through Level Four Financial, LLC, a registered broker dealer and member of FINRA/SIPC.  Advisory services offered through Level Four Advisory Services, LLC, an SEC-registered investment adviser. Insurance services offered through Level Four Insurance Agency, LLC. Level Four Financial, LLC, Level Four Advisory Services, LLC, and Level Four Insurance Agency, LLC are independent entities.  |  Disclosures  |  Representative Email Access



  

Level Four Group, LLC is a division of CRI Capital Group, LLC, a subsidiary of CRI Advisors, LLC. “CRI" is the brand name under which Carr, Riggs & Ingram, L.L.C. (“CPA Firm”) and CRI Advisors, LLC (“Advisors”) and its subsidiary entities provide professional services. CPA Firm and Advisors (and its subsidiary entities) practice as an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable law, regulations and professional standards. CPA Firm is a licensed independent CPA firm that provides attest services to its clients, and Advisors and its subsidiary entities provide tax and business consulting services to their clients. Advisors and its subsidiary entities are not licensed CPA firms.



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