Operations Alert - Up-to-date Forms

ADVISOR USE ONLY

Operations Alert

Up-to-date Forms

June 9, 2022

IMPORTANT REMINDER: Ensure you always use the most current/recent version of Level Four/RJ forms.

We communicate form updates in a variety of manners: conference calls; CSA meetings; email newsletters; etc. Accessing forms via the Intranet or Level Four DocuSign will always have the most recent version. The forms always have the modified date on the lower corner of the front page. We strongly suggest that you do not save blank .pdf forms to your laptop/desktop to help prevent the use of outdated forms.

Outdated forms can cause rejections of paperwork, potentially forcing you to go back to the client for new signatures. Typically, outdated form versions will not be accepted 30 days after the updated version is posted.

Regarding the Financial Planning Agreement, the current version is dated 5/22 but a quick audit shows that most of the FPAs coming in are the 5/2020 version. Effective, June 17, 2022 we will no longer accept the outdated version(s) of this agreement.

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.

We cannot accept any orders and/or instructions regarding your account by email, voice mail, fax or any alternate method. Securities offered through Level Four Financial, LLC Member 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 but affiliated entities. Accounts carried by Raymond James & Associates, Inc. Member New York Stock Exchange/SIPC. E-mail sent through the internet is not secure or confidential. This e-mail is intended only for the person or entity to which it is addressed and may contain confidential and/or privileged material. Any review, retransmission, dissemination or other use of, or taking any action in reliance upon, this information by persons or entities other than the intended recipient is prohibited. If you received this message in error, please contact the sender immediately and delete the material from your computer.