Elevation LLC

12/15/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049229501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elevation, LLC (Respondent) Member Firm CRD No. 140341 Pursuant to FINRA Rule 9216, Respondent Elevation, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2016049229501data-portal.finra.orgfinra.org

10/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021236201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elevation, LLC, Respondent FINRA Member Firm BD No. 140341 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Elevation, LLC ("Elevation") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2010021236201finra.orgdata-portal.finra.org

11/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110303570-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Elevation, LLC, Respondent Broker-Dealer CRD No. 140341 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Elevation, LLC ("firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2011030357001data-portal.finra.orgfinra.org