This is the Primary Document downloaded from EDGAR on 12/11/2014 4:54:40 PM EST for EFDID 13717 and Accession Number 0001468889-10-000002.
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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 |
| Expires: |
August 31, 2015 |
| 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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0001468889
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| Terra Secured Income Fund I, LLC |
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| |
Corporation |
| |
Limited Partnership |
| X |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
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Other (Specify) |
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| Name of Issuer |
| Terra Secured Income Fund, LLC |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2009 |
| |
Yet to Be Formed |
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2. Principal Place of Business and Contact Information
| Name of Issuer |
| Terra Secured Income Fund, LLC |
| Street Address 1 |
Street Address 2 |
| 805 THIRD AVENUE |
8TH FLOOR |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| NEW YORK |
NEW YORK |
10022 |
212-753-5100 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Milde |
Simon |
J. |
| Street Address 1 |
Street Address 2 |
| 805 Third Avenue, 8th floor |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Chairman of Terra Capital Advisors, LLC, the Manager
| Last Name |
First Name |
Middle Name |
| Batkin |
Bruce |
D. |
| Street Address 1 |
Street Address 2 |
| 805 Third Avenue, 8th floor |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| Relationship: |
X |
Executive Officer |
|
Director |
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Promoter |
Clarification of Response (if Necessary):
President of Terra Secured Income Fund, LLC and President and Chief Executive Officer of Terra Capital Advisors, LLC, the Manager
| Last Name |
First Name |
Middle Name |
| Cooperman |
Daniel |
J. |
| Street Address 1 |
Street Address 2 |
| 805 Third Avenue, 8th floor |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Managing Director, Originations of Terra Capital Advisors, LLC, the Manager
| Last Name |
First Name |
Middle Name |
| Flood |
James |
J. |
| Street Address 1 |
Street Address 2 |
| 805 Third Avenue, 8th floor |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Treasurer and Secretary of Terra Secured Income Fund, LLC and Chief Financial Officer and Chief Operating Officer of Terra Capital Advisors, LLC, the Manager
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 |
| X |
No Revenues |
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No Aggregate Net Asset Value |
| |
$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 |
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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 505 |
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Rule 504 (b)(1)(i) |
X |
Rule 506 |
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Rule 504 (b)(1)(ii) |
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Securities Act Section 4(5) |
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Rule 504 (b)(1)(iii) |
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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 |
2009-07-28 |
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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 |
| |
Debt |
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Tenant-in-Common Securities |
| |
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 |
$50,000 |
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lightstone Securities, LLC |
132596 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1 International Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mahwah |
NEW JERSEY |
07495 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| IBN Financial Services |
43260 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 8035 Oswego Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Liverpool |
NEW YORK |
13090 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
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| CONNECTICUT |
| FLORIDA |
| MARYLAND |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| VERMONT |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| World Equity Group |
29087 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1650 N. Arlington Heights Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Arlington Heights |
ILLINOIS |
60004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Capitol Securities |
14169 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 7918 Jones Branch Drive |
Suite 800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| McLean |
VIRGINIA |
22102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Synergy Investment Group |
46035 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 8320 University Executive Park Drive |
Suite 110 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Charlotte |
NORTH CAROLINA |
28262 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| NorthStar Financial Partners |
107708 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2150 Butterfield Drive |
Suite 220 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Troy |
MICHIGAN |
48084 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
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| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| NEW MEXICO |
| NEW YORK |
| OHIO |
| VERMONT |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| Workman Securities Corp |
31898 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 6500 City West Parkway |
Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Eden Prairie |
MINNESOTA |
55344 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Waterford Investor Services |
46227 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 222 Middle Country Road |
Suite 209 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Smithtown |
NEW YORK |
11787 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
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| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
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| Source Capital Group Inc. |
36719 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 276 Post Road West |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westport |
CONNECTICUT |
06880 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| WFG Investments |
22704 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 12221 Merit Drive |
Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Abshier Webb Donnelly & Baker, Inc. |
104051 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2500 CityWest Blvd. |
Suite 590 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77042 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| NEBRASKA |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sunbelt Securities |
42180 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5075 Westheimer Road |
Suite 670 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77056 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| ILLINOIS |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| NEW JERSEY |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Resource Horizons |
104368 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1350 Church Street Extension |
3rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marietta |
GEORGIA |
30060 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Okoboji Financial |
33727 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1019 Highway 71 South |
| City |
State/Province/Country |
ZIP/Postal Code |
| Okoboji |
IOWA |
51355 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| KANSAS |
| MASSACHUSETTS |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| NORTH DAKOTA |
| OREGON |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Institutional Capital Management, Inc. |
41055 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5141 Virginia Way |
Suite 460 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Brentwood |
TENNESSEE |
37027 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| HAWAII |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MONTANA |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| TENNESSEE |
| TEXAS |
| UTAH |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Stephen A. Kohn |
41067 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 3232 S. Vance Street |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lakewood |
COLORADO |
80227 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| IOWA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| TEXAS |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Berthel Fisher |
13609 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 701 Tama Street |
Bldg. B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marion |
IOWA |
52302 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| EDI Financial |
15699 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 12221 Merit Drive |
Suite 1020 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Financial West Group |
16668 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 4510 E. Thousand Oaks Blvd. |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Southeast Investments |
43035 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 820 Tyvola Road |
Suite 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Charlotte |
NORTH CAROLINA |
28217 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| IDAHO |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lowell and Co. |
24913 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 4021 84th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lubbock |
TEXAS |
79423 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| KANSAS |
| MICHIGAN |
| MISSOURI |
| NEW MEXICO |
| OKLAHOMA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Merrimac Corporate Securities |
35463 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1185 Spring Center South Blvd. |
Suite 1060 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Altamonte Springs |
FLORIDA |
32714 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd |
15427 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| William McCance |
None |
| Street Address 1 |
Street Address 2 |
| 161 Ash Street |
Suite D |
| 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| VERMONT |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dewaay Financial |
30767 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Dustin Bahnsen |
None |
| Street Address 1 |
Street Address 2 |
| 13001 University Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Clive |
IOWA |
50325 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| First Independent Financial Services |
128904 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Philip Palmer |
None |
| Street Address 1 |
Street Address 2 |
| 7134 S. Yale |
Suite 560 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tulsa |
OKLAHOMA |
74136 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MISSOURI |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| First Midwest Securities, Inc. |
21786 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Trisha Cox |
None |
| Street Address 1 |
Street Address 2 |
| 207 W. Jefferson |
Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bloomington |
ILLINOIS |
61701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Leigh Baldwin & Co., LLC |
38751 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Leigh Baldwin |
None |
| Street Address 1 |
Street Address 2 |
| 112 Albany Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cazenovia |
NEW YORK |
13035 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH DAKOTA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Resource Horizons |
104368 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Kelly Miller |
None |
| Street Address 1 |
Street Address 2 |
| 1350 Church Street Extension |
3rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marietta |
GEORGIA |
30060 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Transam Securities, Inc. |
18923 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Barry M. Smith |
None |
| Street Address 1 |
Street Address 2 |
| 1111 Douglas Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Altamonte Springs |
PENNSYLVANIA |
32714 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| World Equity Group |
29087 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Michael Wolf |
None |
| Street Address 1 |
Street Address 2 |
| 1650 N. Arlington Heights Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Arlington Heights |
ILLINOIS |
60004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| National Securities Corp |
7569 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Michael Cassella |
None |
| Street Address 1 |
Street Address 2 |
| 1001 Fourth Avenue |
Suite 2200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Seattle |
WASHINGTON |
98154 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Capital Securities Management |
14169 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Mark Hamby |
None |
| Street Address 1 |
Street Address 2 |
| 7918 Jones Branch Drive |
Suite 800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| McLean |
VIRGINIA |
22102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Omni Brokerage |
16878 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| Greg Paul |
None |
| Street Address 1 |
Street Address 2 |
| 150 W. Civic Center Drive |
Suite 103 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sandy |
UTAH |
84070 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1040 N. Kings Highway |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marion |
NEW JERSEY |
08034 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| MICHIGAN |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cape Securities |
7072 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2005 Pennsylvania Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| McLean |
VIRGINIA |
22102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| G. A. Repple & Company |
17486 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 101 Normandy Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Casselbery |
FLORIDA |
32707 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Newbridge Securities |
104065 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1451 Cypress Creek Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ft. Lauderdale |
FLORIDA |
33309 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
13. Offering and Sales Amounts
| Total Offering Amount |
$20,000,000 |
USD |
|
| Total Amount Sold |
$17,672,584 |
USD |
| Total Remaining to be Sold |
$2,327,416 |
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 |
$2,000,000 |
USD |
|
| Finders' Fees |
$0 |
USD |
|
Clarification of Response (if Necessary):
Based on Maximum Offering Price16. 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):
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 Rule 505 exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).
|
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 |
| Terra Secured Income Fund, LLC |
Bruce D. Batkin |
Bruce D. Batkin |
President |
2010-08-12 |
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.