EFDID: 3811EFD: View Filing

Issuer: BERKELEY CAPITAL TRUST INC (0001430248) - D/A

Accession: 0001430248-11-000002 (XMLRaw Data) (EDGAREDGAR Files) (Form DForm D)

EDGAR: Issuer Information
  • CIK:
    0001430248
  • Entity Name:
    BERKELEY CAPITAL TRUST INC
  • Entity Type:
    Corporation
  • Jurisdiction:
    MARYLAND
  • Year of Inc:
    Within 5 years (2007)
  • Address:
    555 Montgomery
    Suite 1550
    SAN FRANCISCO, CA 94111
  • Persons:
    Related Persons 5
    MICHEL D. SNEGG
    Executive OfficerDirector
    AARON SNEGG
    Executive OfficerDirector
    NORMAN VILLARINA
    Executive OfficerDirector
    BERKELEY CAPITAL ADVISERS, LLC
    Promoter
    Doug Wertheimer
    Director
EDGAR: Offering Information
  • Accession Date:
    12/29/2011
  • First Sale Date:
    12/27/2007
  • Offering Amount:
    $25,000,000
  • Amount Sold:
    $17,716,802
  • Amount Remaining:
    $7,283,198
  • Exemptions:
    Rule 506
  • Security Type(s):
    Equity
EFD: Current State Notices

No State Notices found in EFD

EDGAR: Sales Compensation Recipient Information
RecipientCRDBroker DealerBD CRDStates
PAUL L. WHITE II 4669396 HERITAGE FINANCIAL SYSTEMS, INC 133019 NY, OH
HAROLD C. WHITE JR 465047 ASHTON CAPITAL MANAGEMENT, INC 26502 CA
GORDON W YEE 2339698 NATIONAL SECURITIES CORP 7569 CA, HI
LARRY D FREIE 1236742 SUNSET FINANCIAL SERVICES 3538 AZ, CO, IN, KS, NE
DEREK LOPEZ 2320151 NATIONAL SECURITIES CORP 5769 CA
FERDINAND R DOSONO 2110497 NATIONAL SECURITIES CORP 5769 HI, WA
JEREMY L. GOVE 5231794 JP TURNER & CO., LLC 43177 NE
MICHAEL L. DIGAETANO 2378300 JP TURNER & CO., LLC 43177 CA, NE
DOUGLAS W. SHRINER 1140409 HARRISON DOUGLAS, INC. 16515 CO
GILBERT R. CONRAD 2746778 JP TURNER & CO, LLC 43177 CA, FL, NE, NJ, NY, TX
FREDERICK F. PTUCHA 368578 FINANCIAL WEST GROUP 16668 CA, CT, FL, WA
HUGH O. BARNDOLLAR III 3027317 GRANT BETTINGEN, INC. 16944 FL
ROBERT C. BAILING 1018851 FINANCIAL ADVISERS OF AMERICA, LLC 142170 CA
WILLIAM C. MONROE III 4043470 DH HILL SECURITIES LLP 41528 CO, TX
PAUL GELORMINI 2066089 EPLANNING SECURITIES, INC. 46000 CA
ALAN S. FRIEDLANDER 1890289 D.H. HILL SECURITIES, LLP 41528 IL
DANNY H. HILL 1012712 D.H. HILL SECURITIES, LLP 41528 TX
ROBERT B. SETSER 1005169 CHARTER PACIFIC SECURITIES, LLC 144528 CA
ERIC PAUL WESCHKE 2486324 ALTERNATIVE WEALTH STRATEGIES, INC. 130933 NY
RONALD DALE VAN WYNGARDEN 1286498 BERTHEL, FISHER & CO FINANCIAL SERVICES, INC. 13609 IA
MARK B. REINKING 1602957 SUNSET FINANCIAL SERVICES, INC. 3538 IL, MD, TX
MITCH FISHER 869469 National Securities Corp. 7569 CA
WFP SECURITIES CORPORATION 35098 WFP SECURITIES CORPORATION 35098 CA, CO, MI, OR, TX, UT, WA, WI, WY
CENTAURUS FINANCIAL, INC. 30833 CENTAURUS FINANCIAL, INC. 30833 AZ, CA, FL, KS, MI, MN, NJ, NM, NY, PA, TX, UT
AFA FINANCIAL GROUP, LLC 127648 AFA FINANCIAL GROUP, LLC 127648 CA, ID
Kathryn Fitzgerald 1411000 NATIONAL SECURITIES CORPORATION 7569 CA
Jeffrey Rachlin 823547 ALTERNATIVE WEALTH STRATEGIES, INC. 130933 MD
JALON O'CONNELL 3005016 NATIONAL SECURITIES CORP. 7569 CA
BRUCE BEETZ 1527269 OAK TREE SECURITIES, INC 18126 CA, HI
Mark Pizarek 3216820 OAK TREE SECURITIES, INC 18126 CA
Sonya Lee 2742405 OAK TREE SECURITIES, INC 18126 CA
William Furlong 801636 Newport Coast Securities 16944 CA
Edwin Suzuki 4851317 Newport Coast Securities 16944 CA
Berkeley Capital Securities 136982 Berkeley Capital Securities 136982 CA, WA
GILBERT A. CORNETT 54395 D.H. HILL SECURITIES, LLLP 41528 TX
PAUL K. DOAK 2764556 D.H. HILL SECURITIES, LLLP 41528 NM
JAMES W. WRIGHT JR 2460998 D.H. HILL SECURITIES, LLLP 41528 NM, TN, TX
WILLIAM C. MONROE III 4043470 G.F. INVESTMENT SERVICES, LLC 132939 TX
MICHAEL M. MCGREGOR 2263066 HARRISON DOUGLAS, INC. 16515 CO
DEAN A. HARVEY 3076399 IMS SECURITIES, INC. 35567 TX
JACKIE DIVONO WADSWORTH 2342163 IMS SECURITIES, INC. 35567 TX
JOHN W. BALES JR 1820734 IMS SECURITIES, INC. 35567 TX
JOHN T. BROGDON JR 1450806 IMS SECURITIES, INC. 35567 TX
STACEY L. ROGNON 1898975 IMS SECURITIES, INC. 35567 TX
WILLIAM G. CHRISTIAN JR 2521197 IMS SECURITIES, INC. 35567 TX
DWIGHT K. KAY 5376903 INDEPENDENT FINANCIAL GROUP, LLC 7717 CA
ROBERT E. SCHULTZ 415778 NEWPORT COAST SECURITIES, INC. 16944 CA
KENNETH W. FINNELL 1184110 NEWPORT COAST SECURITIES, INC. 16944 CA, WI
RAY W. KIM 4446196 NEWPORT COAST SECURITIES, INC. 16944 CA
CHARLES W. BINGHAM 4877997 SUNBELT SECURITIES, INC. 42180 TX
DWAYNE M. TIDWELL 2612587 SUNBELT SECURITIES, INC. 42180 MI, TX
JASON B. VANCLEF 5096529 VFG SECURITIES, INC. 15121 CA, CO
KRISTOPHER B. FIELD 4603208 VFG SECURITIES, INC. 15121 CA
MARK A. TREWITT 1364490 VFG SECURITIES, INC. 15121 TX
TONY M. HARTMAN 5602407 VFG SECURITIES, INC. 15121 CO
JOHN P. PAGE 5837916 JRL CAPITAL CORPORATION 10225 CA, WA
EDGAR: Signatures
IssuerSignatureSigner NameTitleSignatureDate
BERKELEY CAPITAL TRUST INCAaron SneggAARON SNEGGDIRECTOR2011-12-19
Related EDGAR Submissions
Type Edgar Date EFD: Accession
D/A Dec. 30, 2011 3811: 0001430248-11-000002 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $17,716,802
Remaining: $7,283,198
D/A Jun. 02, 2010 3811: 0001430248-10-000006 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $10,326,224
Remaining: $14,673,776
D/A Apr. 01, 2010 3811: 0001430248-10-000003 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $9,734,724
Remaining: $15,265,276
D/A Feb. 26, 2010 3811: 0001430248-10-000002 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $9,333,724
Remaining: $15,666,276
D/A Feb. 09, 2010 3811: 0001430248-10-000001 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $9,182,724
Remaining: $15,817,276
D/A Dec. 30, 2009 3811: 0001430248-09-000013 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $8,567,774
Remaining: $16,432,226
D/A Nov. 20, 2009 3811: 0001430248-09-000012 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $8,186,274
Remaining: $16,813,726
D/A Nov. 10, 2009 3811: 0001430248-09-000011 BERKELEY CAPITAL TRUST INC
Offer Amount: $25,000,000
Amount Sold: $8,087,424
Remaining: $16,912,576