This is the Primary Document downloaded from EDGAR on 7/9/2015 3:30:27 PM EST for EFDID 116831 and Accession Number 0000950138-15-000457.
SEC FORM D/A
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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete.
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
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1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
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Entity Type |
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0001623683
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
| X |
Business Trust |
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Other (Specify) |
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| Name of Issuer |
| Indianapolis Multifamily DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
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Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2014 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
| Name of Issuer |
| Indianapolis Multifamily DST |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
630-218-4916 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Inland Private Capital Corporation |
N/A |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer.
| Last Name |
First Name |
Middle Name |
| Indianapolis Multifamily Exchange, L.L.C. |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Signatory Trustee and Manager of the Issuer.
| Last Name |
First Name |
Middle Name |
| Indianapolis Multifamily, L.L.C. |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer.
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
| X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
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Rule 505 |
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| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2014-11-18 |
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First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000 |
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
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None |
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| Richard Schwartz |
2037308 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| National Securities Corporation |
7569 |
| Street Address 1 |
Street Address 2 |
| 3265 Johnson Avenue |
Suite 304 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bronx |
NEW YORK |
10463 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Lisa Sherman |
1259510 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| National Securities Corporation |
7569 |
| Street Address 1 |
Street Address 2 |
| 20 Squadron Blvd. |
Suite 103 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New City |
NEW YORK |
10956 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Gregory Scrydloff |
2088063 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| National Securities Corporation |
7569 |
| Street Address 1 |
Street Address 2 |
| 20 Squadron Blvd. |
Suite 103 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New City |
NEW YORK |
10956 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Scott Sheehan |
2328614 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| DFPG Investments Inc. |
155576 |
| Street Address 1 |
Street Address 2 |
| 2 Orr Hatch Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cornwall |
NEW YORK |
12518 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
| RHODE ISLAND |
| VERMONT |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jeffrey Bangerter |
1687028 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| DFPG Investments Inc. |
155576 |
| Street Address 1 |
Street Address 2 |
| 406 W. South Jordan Pkwy |
Suite 240 |
| City |
State/Province/Country |
ZIP/Postal Code |
| South Jordan |
UTAH |
84095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Michael A. Bendix |
5379777 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| DFPG Investments Inc. |
155576 |
| Street Address 1 |
Street Address 2 |
| 903 Springwood Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Encinitas |
CALIFORNIA |
92024 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Patrick R. Conway |
1337831 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Investacorp Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Rd. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| John G. Chess |
4812430 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Investacorp Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 4263 Gavin Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Columbus |
OHIO |
43220 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Transamerica Financial Advisors Inc. |
16164 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Transamerica Financial Advisors Inc. |
16164 |
| Street Address 1 |
Street Address 2 |
| 570 Carillon Parkway |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Petersburg |
FLORIDA |
33716-1202 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| CALIFORNIA |
| HAWAII |
| INDIANA |
| NORTH DAKOTA |
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| Recipient |
| Recipient CRD Number |
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None |
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| Concorde Investment Services LLC |
151604 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Concorde Investment Services LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 1120 East Long Lake Road |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Troy |
MICHIGAN |
48085 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| CALIFORNIA |
| FLORIDA |
| MARYLAND |
| NEW YORK |
| NORTH CAROLINA |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jason Steele |
2674860 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Prospera Financial Services Inc. |
10740 |
| Street Address 1 |
Street Address 2 |
| 4700 Falls of Neuse Rd. |
Suite 440 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Raleigh |
NORTH CAROLINA |
27609 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Proequities Inc. |
15708 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Proequities Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 2801 Highway 280 South |
| City |
State/Province/Country |
ZIP/Postal Code |
| Birmingham |
ALABAMA |
35223 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| ILLINOIS |
| IOWA |
| NEBRASKA |
| NORTH CAROLINA |
| VIRGINIA |
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| Recipient |
| Recipient CRD Number |
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None |
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| Joseph G. Michaletz |
1327534 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Triad Advisors Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 150 St. Andrews Ct. |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| MINNESOTA |
| TEXAS |
| WASHINGTON |
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| Recipient |
| Recipient CRD Number |
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None |
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| James T. Walesa |
1061209 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Triad Advisors Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 1460 Renaissance Dr. |
Suite 212 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Park Ridge |
ILLINOIS |
60068 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Thomas A. Gray |
1963306 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Triad Advisors Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 322 Vista Del Mar |
| City |
State/Province/Country |
ZIP/Postal Code |
| Redondo Beach |
CALIFORNIA |
90277 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| John H. Scully |
803539 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 450 Skokie Blvd. |
Suite 301 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Northbrook |
ILLINOIS |
60062 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Robert A. Horning |
2311640 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 6633 S. Halm Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90056 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Adam J. Bryan |
5443986 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 6633 S. Halm Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90056 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Cynthia E. Hoelscher |
3063251 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 4800 Sugar Grove Blvd. |
Suite 225 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Stafford |
TEXAS |
77477 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jim A. Christian |
4529522 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 432 W. 11th Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Eugene |
OREGON |
97401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Ronald A. Horvitz |
1277033 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 3991 Ohio Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92104-3014 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Royal Alliance Associates Inc. |
23131 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Royal Alliance Associates Inc. |
23131 |
| Street Address 1 |
Street Address 2 |
| One World Financial Center |
15th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10281 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Christina S. Nielson |
4866971 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 650 Town Center Drive |
Suite 1400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Costa Mesa |
CALIFORNIA |
92626 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| David G. Haislip |
714334 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| H. Beck Inc. |
1763 |
| Street Address 1 |
Street Address 2 |
| 6523 E. Paseo El Greco |
| City |
State/Province/Country |
ZIP/Postal Code |
| Anaheim |
CALIFORNIA |
92807 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Tye Wynfield |
1341666 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Hagen Securities Inc. |
27353 |
| Street Address 1 |
Street Address 2 |
| 2112 Century Park Lane |
#415 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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|
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| Recipient |
| Recipient CRD Number |
|
None |
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| VSR Financial Services Inc. |
14503 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| VSR Financial Services Inc. |
14503 |
| Street Address 1 |
Street Address 2 |
| 8620 W. 110th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Overland Park |
KANSAS |
66210-9651 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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|
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| Recipient |
| Recipient CRD Number |
|
None |
|
| Larry R. Law |
1273118 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| JRL Capital Corporation |
10225 |
| Street Address 1 |
Street Address 2 |
| 20371 Irvine Ave. |
Suite A-140 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Patrick Tantoco |
5249850 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 1585 Kapiolani Blvd. |
Suite 1600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Honolulu |
HAWAII |
96814 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Anil Gulati |
1137733 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 2350 Mission College Blvd. |
Suite 1160 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Clara |
CALIFORNIA |
95054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Wenjinn J. Chang |
4536266 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 15245 Shady Grover Road |
Suite 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rockville |
MARYLAND |
20850 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark T. Maund |
3012539 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Purshe Kaplan Sterling Investments |
35747 |
| Street Address 1 |
Street Address 2 |
| 1029 Greene Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Augusta |
GEORGIA |
30901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ronald D. Birnbaum |
2382580 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd. |
15427 |
| Street Address 1 |
Street Address 2 |
| One Gateway Center |
Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newton |
MASSACHUSETTS |
02458 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edward M. Gazarian |
1457628 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd. |
15427 |
| Street Address 1 |
Street Address 2 |
| 81 Rustic Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Reading |
MASSACHUSETTS |
01867 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kent A. Lalonde |
3241329 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CFD Investments Inc. |
25427 |
| Street Address 1 |
Street Address 2 |
| 29 Via Jacobea |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Clemente |
CALIFORNIA |
92673 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edwin T. Suzuki |
4851317 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Coast Securities Inc. |
16944 |
| Street Address 1 |
Street Address 2 |
| 18872 MacArthur Blvd. |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David B. Levinson |
705929 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Coast Securities Inc. |
16944 |
| Street Address 1 |
Street Address 2 |
| 18872 MacArthur Blvd. |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William J. Connaker |
5853942 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Coast Securities Inc. |
16944 |
| Street Address 1 |
Street Address 2 |
| 18872 MacArthur Blvd. |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric A. Bicknese |
2829451 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Nationwide Planning Associates Inc. |
31029 |
| Street Address 1 |
Street Address 2 |
| 375 Route 32 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Central Valley |
NEW YORK |
10917 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael G. Strafford |
2108900 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Nationwide Planning Associates Inc. |
31029 |
| Street Address 1 |
Street Address 2 |
| 232 Boulevard |
Suite #4 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hasbrouck Heights |
NEW JERSEY |
07604 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Terry L. Daniels |
4309671 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Madison Avenue Securities LLC |
23224 |
| Street Address 1 |
Street Address 2 |
| 1661 US 231 South |
| City |
State/Province/Country |
ZIP/Postal Code |
| Crawfordsville |
INDIANA |
47933 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Steven B. Shaiman |
4114227 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 14497 N. Dale Mabry Hwy |
Suite 215 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FLORIDA |
33618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Inland Securities Corporation |
15807 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Inland Securities Corporation |
15807 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John P. Harvey |
4227692 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sandlapper Securities LLC |
137906 |
| Street Address 1 |
Street Address 2 |
| 1 City Boulevard West |
Suite 870 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research Inc. |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 1776 Pleasant Plain Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairfield |
IOWA |
52556-8757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Theresa M. Hall |
1404084 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 1730 Burnt Boat Loop |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bismarck |
NORTH DAKOTA |
58502-1914 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ryan P. Joyce |
2889224 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| B.B. Graham & Company Inc. |
41533 |
| Street Address 1 |
Street Address 2 |
| 4800 Bee Cave Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78746 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dominic J. Zamora |
4662318 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cliftonlarsonallen Wealth Advisors LLC |
38357 |
| Street Address 1 |
Street Address 2 |
| 220 S. Sixth Street |
Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Minneapolis |
MINNESOTA |
55402-4505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
13. Offering and Sales Amounts
| Total Offering Amount |
$25,981,840 |
USD |
|
| Total Amount Sold |
$25,981,840 |
USD |
| Total Remaining to be Sold |
$0 |
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
| Sales Commissions |
$2,247,429 |
USD |
|
| Finders' Fees |
$0 |
USD |
|
Clarification of Response (if Necessary):
Amount includes selling commissions, dealer fee and placement agent fee.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Transaction based fees accruing to related parties.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
| In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against it in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
| Issuer |
Signature |
Name of Signer |
Title |
Date |
| Indianapolis Multifamily DST |
/s/ Keith Lampi |
Keith Lampi |
President of Member of Signatory Trustee |
2015-07-02 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.