This is the Primary Document downloaded from EDGAR on 12/13/2014 7:47:50 PM EST for EFDID 86647 and Accession Number 0001594316-14-000005.
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 |
| 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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0001594316
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
| X |
Other (Specify) |
Delaware Statutory Trust |
| Name of Issuer |
| Convenience Net Lease Portfolio 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) |
2013 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
| Name of Issuer |
| Convenience Net Lease Portfolio DST |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
630-218-8000 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Inland Private |
Capital Corporation |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
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Executive Officer |
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Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Convenience Net Lease |
Portfolio, L.L.C. |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
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Executive Officer |
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Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Convenience Net Lease |
Portfolio Exchange, L.L.C. |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
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Executive Officer |
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Director |
X |
Promoter |
Clarification of Response (if Necessary):
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 |
2013-12-10 |
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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)
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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 |
X |
Other (describe) |
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Beneficial interests in Delaware Statutory Trust reflecting beneficial interest in real estate. |
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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| Inland Securities Corporation |
15807 |
| (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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| 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 |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Ramsey K. Reich |
1491924 |
| (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 |
| 1747 Reese Street, Suite 215 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Birminghan |
ALABAMA |
35209 |
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 D. Offerman |
4619093 |
| (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 |
| 28 West 44th Street, Suite 902 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10036 |
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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| Ann H. Stewart |
2388888 |
| (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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| Money Concepts Capital Corp. |
12963 |
| Street Address 1 |
Street Address 2 |
| 11440 North Jog Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palm Beach Gardens |
FLORIDA |
33418-3764 |
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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| Robert R. Tweed |
2339324 |
| (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 |
| 2060 Huntington Drive, Suite 1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Marino |
CALIFORNIA |
91108 |
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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| Eric A. Bicknese |
2829451 |
| (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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| 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 |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Nathaniel M. Kuhn |
4624143 |
| (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 |
| 1100 West Northwest Highway, Suite 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mt. Prospect |
ILLINOIS |
60056 |
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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| Eric S. Scaff |
5281210 |
| (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 |
| 300 Montgomery Street, Suite 631 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94101 |
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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| Robert L. Hackenberg, Jr. |
1064715 |
| (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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| Leigh Baldwin & Co., LLC |
38751 |
| Street Address 1 |
Street Address 2 |
| 2813 Route 611 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tannersville |
PENNSYLVANIA |
18372 |
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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| Dwight K. Kay |
5376903 |
| (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 |
| 927 Deep Valley Drive, Suite 196 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rolling Hills Estates |
CALIFORNIA |
90274 |
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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| Jennifer K. Arnold |
4973672 |
| (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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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 915 North Jefferson Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mt. Pleasant |
TEXAS |
75455-3259 |
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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| Judy H. Scheibel |
5988074 |
| (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 |
| 1071 Noble Way |
| City |
State/Province/Country |
ZIP/Postal Code |
| The Villages |
FLORIDA |
32162 |
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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| 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 Court, 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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| Recipient |
| Recipient CRD Number |
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None |
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| Robert L. Ford |
1975092 |
| (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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| WFG Investments, Inc. |
22704 |
| Street Address 1 |
Street Address 2 |
| 9400 Broadway Ext., Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oklahoma City |
OKLAHOMA |
73114 |
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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| Bruce S. Birke |
1671284 |
| (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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| Accelerated Capital Group |
41270 |
| Street Address 1 |
Street Address 2 |
| 18301 Von Karman, Suite 400 |
| 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 |
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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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| Kathleen C. Bennett |
4666755 |
| (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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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 3800 Blackhawk Road, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Danville |
CALIFORNIA |
94506 |
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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| Francis J. Jones, Jr. |
4491511 |
| (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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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 200 Valley Road, Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mount Arlington |
NEW JERSEY |
07856 |
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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| Dennis J. Loo |
1099890 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 21 Lafayette Circle, Suite 220 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lafayette |
CALIFORNIA |
94549 |
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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| Dexter Loo |
4771137 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 21 Lafayette Circle, Suite 220 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lafayette |
CALIFORNIA |
94549 |
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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| Stephen L. Swarbrick |
2444058 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Questar Capital Corporation |
43100 |
| Street Address 1 |
Street Address 2 |
| 983 Reserve Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Roseville |
CALIFORNIA |
94578 |
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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| Hagop (Jacob) S. Tujian |
4605467 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 300 North Lake Avenue, Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pasadena |
CALIFORNIA |
91101 |
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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| Martin J. Mulligan |
2491539 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 9200 Indian Creek Parkway, Suite 140 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Overland Park |
KANSAS |
66210 |
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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| Sung P. Lee |
4856630 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 3991 Macarthur Boulevard, Suite 215 |
| 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 |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jeremy J. Vernor |
3078314 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 121 East Myrtle Street, Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Angleton |
TEXAS |
77515 |
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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| Rocco A. Cortese |
4681807 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 300 Montgomery Street, Suite 631 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94101 |
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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| Christina S. Nielson |
4866971 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 349 Gulf Stream Way |
| City |
State/Province/Country |
ZIP/Postal Code |
| Costa Mesa |
CALIFORNIA |
92627 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| NEW JERSEY |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joral T. Schmalle |
4491484 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 1009 Amito Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Berkeley |
CALIFORNIA |
94705 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William Lapiana |
4580411 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newbridge Securities Corporation |
104065 |
| Street Address 1 |
Street Address 2 |
| 1 Meadowlands Plaza, Suite 261 |
| City |
State/Province/Country |
ZIP/Postal Code |
| East Rutherford |
NEW JERSEY |
07073 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John W. Goff |
1919761 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 770 North Cotner Boulevard, Suite 401 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lincoln |
NEBRASKA |
68505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Terry A. Vrieze |
455952 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 7017 Hickman Road, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Urbandale |
IOWA |
50322 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ryan M. Carrus |
5186397 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 2716 Lakewood Village Place |
| City |
State/Province/Country |
ZIP/Postal Code |
| North Little Rock |
ARKANSAS |
72116 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Anthonay M. Calabrese |
4395416 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 1055 Parsippany Boulevard, Suite 502 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Parsippany |
NEW JERSEY |
07054-1230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David S. Waters |
734939 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 1429 Walnut Street, Suite 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Philadelphia |
PENNSYLVANIA |
19102-3207 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew A. Arno |
2834759 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 1429 Walnut Street, Suite 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Philadelphia |
PENNSYLVANIA |
19102-3207 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott E. Teter |
1712630 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| 15 West Carrillo Street, Suite 252 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Barbara |
CALIFORNIA |
93101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christopher J. Passero |
2517681 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Money Concepts Capital Corp. |
12963 |
| Street Address 1 |
Street Address 2 |
| 3979 Teays Valley Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hurricane |
WEST VIRGINIA |
25526 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James K. Johnston |
1689783 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Arete Wealth Management, LLC |
44856 |
| Street Address 1 |
Street Address 2 |
| 775 Ridge Lake Boulevard, Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Memphis |
TENNESSEE |
38120 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gary T. Hughes |
1700976 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 1111 2nd Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hermosa Beach |
CALIFORNIA |
90254 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew Chung |
4157699 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Money Concepts Capital Corp. |
12963 |
| Street Address 1 |
Street Address 2 |
| 1661 East Chapman Avenue, Suite 2-A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fullerton |
CALIFORNIA |
92863 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sterling D. Neblett |
4972455 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lara, May & Associates, LLC |
145589 |
| Street Address 1 |
Street Address 2 |
| 7600 Leesburg Pike, Suite 120 East |
| City |
State/Province/Country |
ZIP/Postal Code |
| Falls Church |
VIRGINIA |
22043 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Roger T. Tadsen |
1053510 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northland Securities, Inc. |
40258 |
| Street Address 1 |
Street Address 2 |
| 45 North 7th Street, 20th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Minneapolis |
MINNESOTA |
55402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Karine R. Beard |
1021375 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WFG Investments, Inc. |
22704 |
| Street Address 1 |
Street Address 2 |
| 333 Perry Street, Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Castle Rock |
COLORADO |
80104 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert W. Bruner |
2260319 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Questar Capital Corporation |
43100 |
| Street Address 1 |
Street Address 2 |
| 22 West Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mountville |
PENNSYLVANIA |
17554 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Carmen D. Marrone, Jr. |
1898874 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| National Securities Corporation |
7569 |
| Street Address 1 |
Street Address 2 |
| 850 NW Federal Highway, Suite 113 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Stuart |
FLORIDA |
34994 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Wendy A. Payne |
5083969 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lara, May & Associates, LLC |
145589 |
| Street Address 1 |
Street Address 2 |
| 7600 Leesburg Pike, Suite 120 East |
| City |
State/Province/Country |
ZIP/Postal Code |
| Falls Church |
VIRGINIA |
22043 |
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 |
$14,225,243 |
USD |
|
| Total Amount Sold |
$14,225,243 |
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 |
$853,515 |
USD |
|
| Finders' Fees |
$0 |
USD |
|
Clarification of Response (if Necessary):
This response is based on the assumption that the full amount of the potential sales commissions will be earned and paid.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):
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 |
| Convenience Net Lease Portfolio DST |
/s/ Keith Lampi |
Keith Lampi |
COO of the Member of the Signatory Trustee |
2014-05-15 |
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.