Compliance Alert – Global Relay Texting Solution

ADVISOR USE ONLY

Compliance Alert

Global Relay Texting Solution - Follow-up

As discussed during the April 2023 Compliance Webinar and in our June 7^th Compliance Alert, Level Four will be offering a texting solution for our representatives starting July 2023.

Employees will be required to use this resource once rolled out. Independent representatives/contractors have the option to use the platform at a cost of $20 per user/month. Note that this is a pass-through cost from Global Relay and not a Level Four imposed fee.

Additionally, as previously noted, ALL associated persons of the Level Four Financial and Level Four Advisory Services will be required to complete an attestation via the RCI Compliance Application. The attestation is going out today, Friday, June 23^rd, will come from the email address “noreply@dstsystems.com” and will contain a link to the attestation. Please be on the lookout for the email, the attestation will take only 1 minute to complete and should be completed by July 1^st in order for you to obtain access to the texting application. It will be the same user’s name and password as utilized for the annual questionnaire that was completed during April.

If you indicate on the attestation that you would like to utilize the Global Relay Texting Platform, you will be additionally required to complete a short training session prior to getting access to the application. The next training session will be held on June 28^th.

Final Training Session:

June 28 ^th , 3:30 Central Time

You must attend the sessions prior to using the application.

We have included a resourceful webpage containing all the information required to get started at: https://community.globalrelay.com/help/s/global-relay-message.

This page has information on sending text messages, managing your profile, adding contacts, and much more. Please reach out to Compliance@levelfourfinancial.com with any questions you may have in this regard.

Global Relay for Android

Global Relay for iOS

Global Relay for Desktop

Global Relay for Web

For additional questions please reach out to Compliance:

Compliance@levelfourfinancial.com

Level Four Financial professionals (“We”) are committed to acting in our retail client’s best interest. For important Regulation Best Interest information, including Form CRS and other disclosures please click here.

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