This is the Primary Document downloaded from EDGAR on 3/12/2021 5:02:47 PM EST for EFDID 307021 and Accession Number 0001766259-21-000001.
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 |
|
Entity Type |
| 0001766259 |
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| |
Corporation |
| |
Limited Partnership |
| X |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| Bourne Seniors Housing V, LLC |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2018 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Bourne Seniors Housing V, LLC |
| Street Address 1 |
Street Address 2 |
| 228 N. PARK AVENUE, SUITE A |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| WINTER PARK |
FLORIDA |
32789 |
(407) 636-7226 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Bourne |
Robert |
A. |
| Street Address 1 |
Street Address 2 |
| 228 N. Park Avenue, Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Winter Park |
FLORIDA |
32789 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Bourne |
R. |
Kyle |
| Street Address 1 |
Street Address 2 |
| 228 N. Park Avenue, Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Winter Park |
FLORIDA |
32789 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Kelley |
Michael |
C. |
| Street Address 1 |
Street Address 2 |
| 228 N. Park Avenue, Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Winter Park |
FLORIDA |
32789 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Spears |
Samuel |
| Street Address 1 |
Street Address 2 |
| 228 N. Park Avenue, Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Winter Park |
FLORIDA |
32789 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Bourne Seniors Housing Manager V, LLC |
Bourne Seniors Housing Manager V, LLC |
| Street Address 1 |
Street Address 2 |
| 228 N. Park Avenue, Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Winter Park |
FLORIDA |
32789 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Bourne Financial Group, LLC |
Bourne Financial Group, LLC |
| Street Address 1 |
Street Address 2 |
| 228 N. Park Avenue, Suite A |
| City |
State/Province/Country |
ZIP/PostalCode |
| Winter Park |
FLORIDA |
32789 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| |
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 |
| |
No Revenues |
|
No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
|
$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
|
$5,000,001 - $25,000,000 |
| |
$5,000,001 - $25,000,000 |
|
$25,000,001 - $50,000,000 |
| |
$25,000,001 - $100,000,000 |
|
$50,000,001 - $100,000,000 |
| |
Over $100,000,000 |
|
Over $100,000,000 |
| X |
Decline to Disclose |
|
Decline to Disclose |
| |
Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
|
| |
Rule 504 (b)(1)(i) |
|
| |
Rule 504 (b)(1)(ii) |
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| |
Rule 504 (b)(1)(iii) |
|
| X |
Rule 506(b) |
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| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| |
Investment Company Act Section 3(c) |
|
| |
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) |
|
Section 3(c)(14) |
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|
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7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2019-04-22 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
|
Pooled Investment Fund Interests |
| |
Debt |
|
Tenant-in-Common Securities |
| |
Option, Warrant or Other Right to Acquire Another Security |
|
Mineral Property Securities |
| |
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
|
Other (describe) |
|
|
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
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 |
|
None |
|
| Cobalt Capital, Inc. |
136161 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 11650 S. State Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Draper |
UTAH |
84020 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alan R. Druckenmiller |
5191639 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd. |
15427 |
| Street Address 1 |
Street Address 2 |
| 1215 Story Hill Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wilbraham |
MASSACHUSETTS |
01095 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| CONNECTICUT |
| MAINE |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NORTH CAROLINA |
| OHIO |
| VERMONT |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Rodney Bahy Ibrahim |
4358176 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Aegis Capital Corp. |
15007 |
| Street Address 1 |
Street Address 2 |
| 40 Wall Street, 46th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10005 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| NEW JERSEY |
| NEW YORK |
| NORTH DAKOTA |
| OKLAHOMA |
| PENNSYLVANIA |
| PUERTO RICO |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jason Corey Griggs |
4795395 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Arkadios Capital |
282710 |
| Street Address 1 |
Street Address 2 |
| 10739 Deerwood Park Blvd, #105 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jacksonville |
FLORIDA |
32256 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| FLORIDA |
| MICHIGAN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James O'Neal Mitchell Jr. |
336937 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel, Fisher & Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 1902 Flint Road SE, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Decatur |
ALABAMA |
35601 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jamie Mittiga Powell |
1596875 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel, Fisher & Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 8240 Beckett Park Drive, Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Chester |
OHIO |
45069 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| KENTUCKY |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEW YORK |
| OHIO |
| OREGON |
| UTAH |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian Aurey Uphoff |
1569323 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 7219 US Hwy 41 North |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palmetto |
FLORIDA |
34221 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| COLORADO |
| FLORIDA |
| MICHIGAN |
| NEW JERSEY |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Byron Keith Crosby |
2158157 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 8780 Seminole Blvd, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Seminole |
FLORIDA |
33772 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Treadway Brogdon, Jr. |
1450806 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 13111 Westheimer Road, Suite 475 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77077 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| IOWA |
| LOUISIANA |
| NORTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Marc Alan Seeherman |
1131557 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 32 West 40th Street, 7th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10018 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| MARYLAND |
| MICHIGAN |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Center Street Securities, Inc. |
26898 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2 International Plaza, Suite 301 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Nashville |
TENNESSEE |
37217 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Tyler Don Sullivan |
5401187 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Client One Securities LLC |
152974 |
| Street Address 1 |
Street Address 2 |
| 104 W 9th Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bristow |
OKLAHOMA |
74010 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| GEORGIA |
| ILLINOIS |
| KANSAS |
| MISSOURI |
| NEVADA |
| OKLAHOMA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Franklin Shenk |
2876098 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Coastal Equities, Inc. |
23769 |
| Street Address 1 |
Street Address 2 |
| 3032 Seven Valleys Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Glen Rock |
PENNSYLVANIA |
17327 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| MAINE |
| MARYLAND |
| MICHIGAN |
| NEW JERSEY |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Benjamin Melvin Schick |
4897243 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cobalt Capital, Inc. |
136161 |
| Street Address 1 |
Street Address 2 |
| 600 Wilkinson Street, Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orlando |
FLORIDA |
32803 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MASSACHUSETTS |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PUERTO RICO |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 19500 Victor Parkway, Suite 550 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Livonia |
MICHIGAN |
48152 |
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 |
| 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 |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dempsey Lord Smith, LLC |
141238 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 901 N Broad Street, Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rome |
GEORGIA |
30161 |
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 |
| 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 |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DFPG Investments, LLC |
155576 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 9017 S Riverside Drive, Suite 210 |
| 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 |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| 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 |
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| RHODE ISLAND |
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| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dan Holzer |
5779187 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Emerson Equity LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 155 Bovet Road, Suite 725 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| MARYLAND |
| MICHIGAN |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| PENNSYLVANIA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Navinbhai Hirabhai Patel |
6994505 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Emerson Equity LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 155 Bovet Road, Suite 725 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| KENTUCKY |
| MISSOURI |
| NEW JERSEY |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sudhir G. Pai |
5928622 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Emerson Equity LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 4512 Legacy Drive, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Plano |
TEXAS |
75024 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dakota A. Lawrence |
5255723 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Great Point Capital LLC |
114203 |
| Street Address 1 |
Street Address 2 |
| 100 Rialto Place, Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Melbourne |
CALIFORNIA |
32901 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brad Whalen |
2582276 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Green Vista Capital, LLC |
293630 |
| Street Address 1 |
Street Address 2 |
| 222 N. Park Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Winter Park |
FLORIDA |
32789 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| KANSAS |
| MARYLAND |
| MASSACHUSETTS |
| MISSOURI |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Samuel Scott Bianchi |
3036667 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IBN Financial Services, Inc. |
42360 |
| Street Address 1 |
Street Address 2 |
| 404 Old Liverpool Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Liverpool |
NEW YORK |
13088 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ILLINOIS |
| MASSACHUSETTS |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Timothy Daniel Nihill |
4220287 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IBN Financial Services, Inc. |
42360 |
| Street Address 1 |
Street Address 2 |
| 23 Middle Street, Suite 301 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newburyport |
MASSACHUSETTS |
01950 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| MAINE |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NEW YORK |
| RHODE ISLAND |
| TEXAS |
| VERMONT |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Todd Robert Rhine |
2384366 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IBN Financial Services, Inc. |
42360 |
| Street Address 1 |
Street Address 2 |
| 7 Finch Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hilton Head Island |
SOUTH CAROLINA |
29926 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| KANSAS |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Barry Eugene Weed |
816202 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Intercarolina Financial Services, Inc. |
19475 |
| Street Address 1 |
Street Address 2 |
| 1400 Battleground Avenue, Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greensboro |
NORTH CAROLINA |
27408 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Williams Keen Butcher |
2098675 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| International Assets Advisory, LLC |
10645 |
| Street Address 1 |
Street Address 2 |
| 5701 Woodway Drive, Suite 330 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77057 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| MASSACHUSETTS |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| SOUTH CAROLINA |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alexander Raymond Creede |
6392369 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| International Assets Advisory, LLC |
10645 |
| Street Address 1 |
Street Address 2 |
| 5701 Woodway Drive, Suite 330 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77057 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| LOUISIANA |
| MARYLAND |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kalos Capital, Inc. |
44337 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 11525 Park Woods Circle, Suite 280 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Alpharetta |
GEORGIA |
30005 |
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 |
| 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 |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Guy Anthony Harrigan |
1817525 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 4770 Baseline Road, Suite 380 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boulder |
COLORADO |
80303 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| HAWAII |
| INDIANA |
| MINNESOTA |
| MISSISSIPPI |
| NEW YORK |
| NORTH CAROLINA |
| RHODE ISLAND |
| SOUTH DAKOTA |
| TEXAS |
| VIRGINIA |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Bradley Teegarden |
2812366 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 4770 Baseline Road, Suite 380 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boulder |
COLORADO |
80303 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christopher Brian Pelley |
1008077 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Moloney Securities Co., Inc. |
38535 |
| Street Address 1 |
Street Address 2 |
| 6312 S. Fiddlers Green Circle, Suite 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greenwood Village |
COLORADO |
80111 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| IOWA |
| KANSAS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW MEXICO |
| NORTH CAROLINA |
| OKLAHOMA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Norval Wood |
2306563 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Moloney Securities Co., Inc. |
38535 |
| Street Address 1 |
Street Address 2 |
| 13537 Barrett Parkway Drive, #300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Manchester |
MISSOURI |
63021 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| ILLINOIS |
| MISSOURI |
| OHIO |
| SOUTH CAROLINA |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Hubert Chaney |
44529 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Moloney Securities Co., Inc. |
38535 |
| Street Address 1 |
Street Address 2 |
| 13537 Barrett Parkway Drive, #300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Manchester |
MISSOURI |
63021 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| MISSOURI |
| NEBRASKA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Morgan Vance |
1887560 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Moloney Securities Co., Inc. |
38535 |
| Street Address 1 |
Street Address 2 |
| 14570 Mono Way, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sonora |
CALIFORNIA |
95370 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| IDAHO |
| NEVADA |
| OREGON |
| SOUTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Newbridge Securities Corporation |
104065 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1200 North Federal Highway, Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boca Raton |
FLORIDA |
33432 |
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 |
| DISTRICT OF COLUMBIA |
| 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 |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SCF Securities, Inc. |
47275 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 155 E. Shaw Avenue, Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fresno |
CALIFORNIA |
93710 |
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 |
| 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 |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sunbelt Securities, Inc. |
42180 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2700 Post Oak Boulevard, Suite 1700 |
| 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 |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| 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 |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2200 Century Parkway, Suite 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30345 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Titan Securities |
131392 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 16775 Addison Road, Suite 525 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Addison |
TEXAS |
75001 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| LOUISIANA |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christopher Michael Dukes |
4712873 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Westpark Capital, Inc. |
39914 |
| Street Address 1 |
Street Address 2 |
| 650 S. Westlake Boulevard, Suite 205 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Thousand Oaks |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| HAWAII |
| IDAHO |
| KANSAS |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW YORK |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Patrick Morehead |
6661646 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Westpark Capital, Inc. |
39914 |
| Street Address 1 |
Street Address 2 |
| 8107 Loyola Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90045 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sheldon Singleton |
2060931 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Westpark Capital, Inc. |
39914 |
| Street Address 1 |
Street Address 2 |
| 8107 Loyola Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90045 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Arthur Doane |
4083486 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd. |
15427 |
| Street Address 1 |
Street Address 2 |
| 33 Hilltop Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wenham |
MASSACHUSETTS |
01984 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| ILLINOIS |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| RHODE ISLAND |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peggy Lynn Romero |
6227087 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd. |
15427 |
| Street Address 1 |
Street Address 2 |
| 71 Hibbert Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Arlington |
MASSACHUSETTS |
02476 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DISTRICT OF COLUMBIA |
| FLORIDA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NEW YORK |
| OHIO |
| SOUTH CAROLINA |
| TENNESSEE |
| VERMONT |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Stephen Charles Olsson |
857922 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd. |
15427 |
| Street Address 1 |
Street Address 2 |
| 902 Montgomery St |
| City |
State/Province/Country |
ZIP/Postal Code |
| Manchester |
NEW HAMPSHIRE |
03102 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| MASSACHUSETTS |
| NEW HAMPSHIRE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Arturo J Rodriguez Diaz |
1301783 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Aegis Capital Corp. |
15007 |
| Street Address 1 |
Street Address 2 |
| 2000 Ponce De Leon, Suite 516-B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Coral Gables |
FLORIDA |
33134 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| FLORIDA |
| PUERTO RICO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Martin Hunter McFarlin |
2838151 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Arkadios Capital |
282710 |
| Street Address 1 |
Street Address 2 |
| 1119 Virginia Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Murfreesboro |
TENNESSEE |
37310 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| GEORGIA |
| MICHIGAN |
| NORTH CAROLINA |
| TENNESSEE |
| TEXAS |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William Louis Herford |
2066018 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Arkadios Capital |
282710 |
| Street Address 1 |
Street Address 2 |
| 10316 Feldfarm Lane, Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Charlotte |
NORTH CAROLINA |
28210 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| FLORIDA |
| NEVADA |
| NORTH CAROLINA |
| SOUTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jason Christopher Cook |
4349388 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel, Fisher & Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 208 S. Marshall Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Graham |
NORTH CAROLINA |
27253 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| NORTH CAROLINA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Boris Hardcastle |
1101791 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel, Fisher & Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 16100 Chesterfield Parkway West, Ste 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chesterfield |
MISSOURI |
63017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| KENTUCKY |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TJ Iwan Setro |
1428815 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel, Fisher & Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 2992 Reidiville Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Spartanburg |
SOUTH CAROLINA |
29301 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| FLORIDA |
| GEORGIA |
| LOUISIANA |
| NORTH CAROLINA |
| OHIO |
| SOUTH CAROLINA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Douglas Stephen Drelich |
2459757 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Client One Securities LLC |
152974 |
| Street Address 1 |
Street Address 2 |
| 7077 Bonneval Road, #440 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jacksonville |
FLORIDA |
32216 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARKANSAS |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| KANSAS |
| MARYLAND |
| MICHIGAN |
| MISSOURI |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Donald Neal Sullivan |
1979017 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Client One Securities LLC |
152974 |
| Street Address 1 |
Street Address 2 |
| 7077 Bonneval Road, #440 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jacksonville |
FLORIDA |
32216 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| LOUISIANA |
| MARYLAND |
| MICHIGAN |
| MISSOURI |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| PENNSYLVANIA |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jay Reid Porter |
1123708 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Coastal Equities, Inc. |
23769 |
| Street Address 1 |
Street Address 2 |
| 10400 NE. 4th Street, Suite 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bellevue |
WASHINGTON |
98004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| INDIANA |
| MASSACHUSETTS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nathaniel Michael Kuhn |
4624143 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DAI Securities, LLC |
36673 |
| Street Address 1 |
Street Address 2 |
| 120 W Eastman Street, #300 |
| 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 |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| MINNESOTA |
| NEW JERSEY |
| OHIO |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Roy Vincent Pfleger |
5896655 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DAI Securities, LLC |
36673 |
| Street Address 1 |
Street Address 2 |
| 17 Stony Wood Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| E Setauket |
NEW YORK |
11733 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| MARYLAND |
| MASSACHUSETTS |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| RHODE ISLAND |
| TEXAS |
| UTAH |
| VERMONT |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joseph Gerard Michaletz |
1327534 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DAI Securities, LLC |
36673 |
| 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 |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| IOWA |
| KANSAS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael Edward O'Toole |
6336251 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DAI Securities, LLC |
36673 |
| 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 |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| IOWA |
| KANSAS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William Christopher Duffy |
6726333 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Emerson Equity LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 155 Bovet Road, Suite 725 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| ILLINOIS |
| MASSACHUSETTS |
| MONTANA |
| NEBRASKA |
| NEW HAMPSHIRE |
| PUERTO RICO |
| TEXAS |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Philippus Theunis Van Staden |
4489166 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Green Vista Capital, LLC |
293630 |
| Street Address 1 |
Street Address 2 |
| 222 N. Park Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Winter Park |
FLORIDA |
32789 |
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 |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Randall George Skrabonja |
1858245 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Green Vista Capital, LLC |
293630 |
| Street Address 1 |
Street Address 2 |
| 222 N. Park Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Winter Park |
FLORIDA |
32789 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Hantz Financial Services, Inc. |
46047 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 26200 American Drive, 5th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Southfield |
MICHIGAN |
48034 |
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 |
| 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 |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Carnell Moore |
2715870 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| International Assets Advisory, LLC |
10645 |
| Street Address 1 |
Street Address 2 |
| 201 E. Kennedy Blvd, Suite 950 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FLORIDA |
33602 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| MARYLAND |
| MICHIGAN |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Peter Reiss |
6591492 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| International Assets Advisory, LLC |
10645 |
| Street Address 1 |
Street Address 2 |
| 167 Valleyview Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairfield |
CONNECTICUT |
06824 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CONNECTICUT |
| FLORIDA |
| MAINE |
| MASSACHUSETTS |
| NEW YORK |
| RHODE ISLAND |
| VERMONT |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Reina Loree Schlager |
2370434 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| J.W. Cole Financial, Inc. |
124583 |
| Street Address 1 |
Street Address 2 |
| 12525 New Brittany Blvd. Bldg. #30 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ft. Myers |
FLORIDA |
33907 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cindy Larue Crossett |
5868822 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| J.W. Cole Financial, Inc. |
124583 |
| Street Address 1 |
Street Address 2 |
| 203 S Candy Lane, Suite 10B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cottonwood |
ARIZONA |
86326 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| NORTH DAKOTA |
| OREGON |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ken Levin |
2823854 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| J.W. Cole Financial, Inc. |
124583 |
| Street Address 1 |
Street Address 2 |
| 12525 New Brittany Blvd. Bldg. #30 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ft. Myers |
FLORIDA |
33907 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CONNECTICUT |
| FLORIDA |
| INDIANA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael Robert Rubenstein |
5445954 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| J.W. Cole Financial, Inc. |
124583 |
| Street Address 1 |
Street Address 2 |
| 12525 New Brittany Blvd. Bldg. #30 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ft. Myers |
FLORIDA |
33907 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Stephen Wayne Wingard |
2746603 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 13155 Noel Road, Suite 900 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75240 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Patrick Shortal |
2233172 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Moloney Securities Co., Inc. |
38535 |
| Street Address 1 |
Street Address 2 |
| 607 S. State Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jerseyville |
ILLINOIS |
62052 |
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 |
$75,000,000
|
USD |
|
| Total Amount Sold |
$47,961,994
|
USD |
| Total Remaining to be Sold |
$27,038,006
|
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 |
$7,500,000
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
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):
The Manager will receive acquisition fees equal to 1.5% of the acquisition and development costs of the Company's real estate assets. The total amount paid will depend on the actual amount of such costs.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 the issuer 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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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 |
| Bourne Seniors Housing V, LLC |
/s/ Robert A. Bourne |
Robert A. Bourne |
CEO of the Sole Member of the Issuer's Manager |
2021-03-12 |
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.