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 |
0001452178 |
John Hancock Life |
Insurance Co. (U.S.A.) Separate |
Account P |
|
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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) |
Insurance Company Separate Investment Account |
Name of Issuer |
John Hancock Life Insurance Co (U.S.A.) Separate Account P |
Jurisdiction of Incorporation/Organization |
MICHIGAN |
Year of Incorporation/Organization |
X |
Over Five Years Ago |
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Within Last Five Years (Specify Year) |
|
|
Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
John Hancock Life Insurance Co (U.S.A.) Separate Account P |
Street Address 1 |
Street Address 2 |
197 Clarendon Street |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
Boston |
MASSACHUSETTS |
02116 |
800-521-1234 |
3. Related Persons
Last Name |
First Name |
Middle Name |
John Hancock Life Insurance Company (U.S.A.) |
John |
Street Address 1 |
Street Address 2 |
197 Clarendon Street |
City |
State/Province/Country |
ZIP/PostalCode |
Boston |
MASSACHUSETTS |
02116 |
Relationship: |
|
Executive Officer |
|
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 |
X |
Pooled Investment Fund |
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Hedge Fund |
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Private Equity Fund |
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Venture Capital Fund |
X |
Other 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 |
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Decline to Disclose |
X |
Decline to Disclose |
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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) |
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Rule 505 |
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Rule 506(b) |
| X |
Rule 506(c) |
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Securities Act Section 4(a)(5) |
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X |
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 |
2008-12-08 |
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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 |
X |
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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Interests in the Separate Account issued pursuant to Variable Life Insurance Policies |
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 |
$100,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
|
John Ramsey |
2027520 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Signator Investors |
468 |
Street Address 1 |
Street Address 2 |
197 Clarendon Street |
City |
State/Province/Country |
ZIP/Postal Code |
Boston |
MASSACHUSETTS |
02116 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
MISSOURI |
NEBRASKA |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
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Donald Friedman |
1023219 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch Street |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARKANSAS |
CALIFORNIA |
COLORADO |
GEORGIA |
IOWA |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MINNESOTA |
MISSOURI |
NEW JERSEY |
NEW MEXICO |
NORTH CAROLINA |
OHIO |
OREGON |
PENNSYLVANIA |
TENNESSEE |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
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David Gagnon |
1734379 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch Street |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
MARYLAND |
MASSACHUSETTS |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
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Michael Corrigan |
865125 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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ProEquities, Inc. |
15708 |
Street Address 1 |
Street Address 2 |
322 N. Nopal Street |
City |
State/Province/Country |
ZIP/Postal Code |
Santa Barbara |
CALIFORNIA |
93103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
CALIFORNIA |
MISSOURI |
NEW MEXICO |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
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None |
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Daniel Wagner |
2653222 |
(Associated) Broker or Dealer |
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None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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ProEquities, Inc. |
15708 |
Street Address 1 |
Street Address 2 |
16654 Chesterfield Farms Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Chesterfield |
MISSOURI |
63005 |
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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William Granville |
2625844 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Northwestern Mutual Investment
Services, LLC |
2881 |
Street Address 1 |
Street Address 2 |
1 Riverway |
Suite 900 |
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 |
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Recipient |
Recipient CRD Number |
|
None |
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William Borchert |
1057817 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Northwestern Mutual Investment
Services, LLC |
2881 |
Street Address 1 |
Street Address 2 |
1 Riverway |
Suite 900 |
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 |
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Recipient |
Recipient CRD Number |
|
None |
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James Cheney |
45355 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1400 Williams Street |
City |
State/Province/Country |
ZIP/Postal Code |
Chattanooga |
TENNESSEE |
37408 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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CALIFORNIA |
GEORGIA |
MARYLAND |
NEW JERSEY |
OHIO |
OREGON |
TENNESSEE |
|
Recipient |
Recipient CRD Number |
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None |
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Todd Mezrah |
2313891 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
5350 West Kennedy Boulevard |
City |
State/Province/Country |
ZIP/Postal Code |
Tampa |
FLORIDA |
33609 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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DELAWARE |
FLORIDA |
MARYLAND |
VIRGINIA |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
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William Solfisburg |
870776 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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NFP Securities, Inc. |
42046 |
Street Address 1 |
Street Address 2 |
224 Hinckley Road |
City |
State/Province/Country |
ZIP/Postal Code |
MILTON |
MASSACHUSETTS |
02186 |
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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Stephen Kaufman |
1022273 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
5120 Woodway |
Suite 6002 |
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 |
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Recipient |
Recipient CRD Number |
|
None |
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Richard Melnick |
4399110 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
5120 Woodway |
Suite 6002 |
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 |
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|
|
Recipient |
Recipient CRD Number |
|
None |
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Carlos Huerta |
3042039 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
5120 Woodway |
Suite 6002 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey Davis |
2187246 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
2467 Country Club Loop |
City |
State/Province/Country |
ZIP/Postal Code |
Westminster |
COLORADO |
80234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
IOWA |
MARYLAND |
OKLAHOMA |
OREGON |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
James Wagner |
1443094 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Capital Analysts, Incorporated |
5478 |
Street Address 1 |
Street Address 2 |
13811 Clayton Road |
City |
State/Province/Country |
ZIP/Postal Code |
Town and Country |
MISSOURI |
63014 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
IOWA |
MARYLAND |
OKLAHOMA |
OREGON |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Gus Comiskey |
1019082 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
5120 Woodway |
Suite 6002 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daryl Brockman |
1960335 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Signator Investors |
468 |
Street Address 1 |
Street Address 2 |
8607 Westwood Center Drive |
Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Vienna |
VIRGINIA |
22182 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Raymond Layman |
4131553 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Legacy Securities, LLC |
47079 |
Street Address 1 |
Street Address 2 |
3617 Summerford Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Marietta |
GEORGIA |
30062 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kevin Conley |
1434976 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Signator Investors |
468 |
Street Address 1 |
Street Address 2 |
8607 Westwood Center Drive |
Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Vienna |
VIRGINIA |
22182 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
GEORGIA |
KENTUCKY |
MISSISSIPPI |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Glenn Blackwood |
1354238 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
2100 Ross Avenue |
Suite 2200 |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75201-7906 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason Prather |
4669803 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP Securities, Inc. |
42046 |
Street Address 1 |
Street Address 2 |
200 S. Commerce |
Suite 350 |
City |
State/Province/Country |
ZIP/Postal Code |
Little Rock |
ARKANSAS |
72201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Leeper |
1635925 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP Securities, Inc. |
42046 |
Street Address 1 |
Street Address 2 |
200 S. Commerce |
Suite 350 |
City |
State/Province/Country |
ZIP/Postal Code |
Little Rock |
ARKANSAS |
72201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARKANSAS |
DISTRICT OF COLUMBIA |
PENNSYLVANIA |
TENNESSEE |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Stephen Whipple |
1305851 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP Securities, Inc. |
42046 |
Street Address 1 |
Street Address 2 |
200 S.Commerce |
Suite 350 |
City |
State/Province/Country |
ZIP/Postal Code |
Little Rock |
ARKANSAS |
72201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARKANSAS |
CALIFORNIA |
GEORGIA |
KENTUCKY |
OHIO |
TENNESSEE |
|
Recipient |
Recipient CRD Number |
|
None |
|
David Larson |
4501375 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Signator Investors |
468 |
Street Address 1 |
Street Address 2 |
197 Clarendon St. |
City |
State/Province/Country |
ZIP/Postal Code |
Boston |
MASSACHUSETTS |
02113 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Lynch |
1023219 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch Street |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bobby Whitfield Jr |
3496 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch Street |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Wayne Cravens |
1678891 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FSC Securities Corporation |
7461 |
Street Address 1 |
Street Address 2 |
1080 Interstate Dr. |
City |
State/Province/Country |
ZIP/Postal Code |
Cookeville |
TENNESSEE |
38501 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jose Garza |
3172270 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
2100 Ross Ave. |
Suite 2200 |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeremy Knobel |
4315867 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
2100 Ross Ave. |
Suite 2200 |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Layne |
1937024 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Signator Investors, Inc. |
468 |
Street Address 1 |
Street Address 2 |
9410 Atlee Commerce Boulevard |
Suite 3 |
City |
State/Province/Country |
ZIP/Postal Code |
Ashland |
VIRGINIA |
23005 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James R. Cole |
2941597 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
BOSC, INC. |
17530 |
Street Address 1 |
Street Address 2 |
One Williams Center |
Plaza Southeast |
City |
State/Province/Country |
ZIP/Postal Code |
Tulsa |
OKLAHOMA |
74172 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Judson Gray Teekell |
841689 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Byers |
2653460 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FNBB Capital Markets, LLC |
132091 |
Street Address 1 |
Street Address 2 |
Two Metroplex Drive |
Suite 111 |
City |
State/Province/Country |
ZIP/Postal Code |
Birmingham |
ALABAMA |
35209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph Crea |
2110561 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Emery |
1984877 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP Securities, Inc. |
42046 |
Street Address 1 |
Street Address 2 |
2106 28th Street |
CRT NW |
City |
State/Province/Country |
ZIP/Postal Code |
Gig Harbor |
WASHINGTON |
98335 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Wesley Caudell |
132091 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch Street |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stephen Coale |
1292536 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Amherst Securities Group, L.P. |
31141 |
Street Address 1 |
Street Address 2 |
1300 Post Oak Blvd. |
City |
State/Province/Country |
ZIP/Postal Code |
Houston |
TEXAS |
31141 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Steven Goldberg |
2890212 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J. ALDEN ASSOCIATES, INC. |
40002 |
Street Address 1 |
Street Address 2 |
261 OLD YORK ROAD |
SUITE 837 |
City |
State/Province/Country |
ZIP/Postal Code |
JENKINTOWN |
PENNSYLVANIA |
19046 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CONNECTICUT |
DELAWARE |
MAINE |
MASSACHUSETTS |
NEW JERSEY |
NORTH CAROLINA |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Bennett Meyer |
1495939 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J. ALDEN ASSOCIATES, INC. |
40002 |
Street Address 1 |
Street Address 2 |
261 OLD YORK ROAD |
SUITE 837 |
City |
State/Province/Country |
ZIP/Postal Code |
JENKINTOWN |
PENNSYLVANIA |
19046 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
CONNECTICUT |
DELAWARE |
IOWA |
MAINE |
MASSACHUSETTS |
MISSOURI |
NEW JERSEY |
NORTH CAROLINA |
OKLAHOMA |
PENNSYLVANIA |
TENNESSEE |
|
Recipient |
Recipient CRD Number |
|
None |
|
John Ellis |
1089311 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA BROKERAGE |
13941 |
Street Address 1 |
Street Address 2 |
10942 SAINT MARYS LN |
City |
State/Province/Country |
ZIP/Postal Code |
HOUSTON |
TEXAS |
77079 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Boothby |
1497536 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP SECURITIES, INC. |
42046 |
Street Address 1 |
Street Address 2 |
1662 MARRLYN RD |
City |
State/Province/Country |
ZIP/Postal Code |
FORT MYERS |
FLORIDA |
33901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Brock |
1209197 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP SECURITIES, INC. |
42046 |
Street Address 1 |
Street Address 2 |
1662 MARRLYN RD |
City |
State/Province/Country |
ZIP/Postal Code |
FORT MYERS |
FLORIDA |
33901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
CALIFORNIA |
FLORIDA |
IOWA |
KENTUCKY |
MICHIGAN |
MINNESOTA |
NEVADA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
David Soczek |
2316655 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
PROEQUITIES, INC. |
15708 |
Street Address 1 |
Street Address 2 |
1550 UTICA AVENUE SOUTH |
SUITE 400 |
City |
State/Province/Country |
ZIP/Postal Code |
MINNEAPOLIS |
MINNESOTA |
55416 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert J. Kozloski II |
3060557 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ALASKA |
IDAHO |
MARYLAND |
OREGON |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Mero Capo |
2361898 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP SECURITIES, INC. |
42046 |
Street Address 1 |
Street Address 2 |
115 VIP DRIVE |
SUITE 120 |
City |
State/Province/Country |
ZIP/Postal Code |
WEXFORD |
PENNSYLVANIA |
15086 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Nolan |
1157483 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
LINCOLN FINANCIAL
ADVISORS CORPORATION |
3978 |
Street Address 1 |
Street Address 2 |
2 WISCONSIN CIRCLE |
SUITE 810 |
City |
State/Province/Country |
ZIP/Postal Code |
CHEVY CHASE |
MARYLAND |
20815 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jay Petty |
2895602 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA BROKERAGE SERVICES,
INC. |
13941 |
Street Address 1 |
Street Address 2 |
7040 NIGHTHAWK COURT |
City |
State/Province/Country |
ZIP/Postal Code |
CARLSBAD |
CALIFORNIA |
92011 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
CALIFORNIA |
IDAHO |
MONTANA |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert M Rushing |
1331167 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
THE LEADERS GROUP, INC. |
37157 |
Street Address 1 |
Street Address 2 |
26 W. DRY CREEK CIRCLE |
SUITE 575 |
City |
State/Province/Country |
ZIP/Postal Code |
LITTLETON |
COLORADO |
80120-4475 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew Henebry |
2711438 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CLARK SECURITIES, INC. |
43803 |
Street Address 1 |
Street Address 2 |
2100 ROSS AVENUE |
SUITE 2200 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75201-7906 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CONNECTICUT |
DELAWARE |
NEW JERSEY |
|
Recipient |
Recipient CRD Number |
|
None |
|
John Sproule |
2396821 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA BROKERAGE SERVICES,
INC. |
13941 |
Street Address 1 |
Street Address 2 |
167 ALFRED LADD |
City |
State/Province/Country |
ZIP/Postal Code |
FRANKLIN |
TENNESSEE |
37064 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
GEORGIA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark Duder |
2630357 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
SECURITIES AMERICA, INC. |
10205 |
Street Address 1 |
Street Address 2 |
15750 VENTURE LANE |
City |
State/Province/Country |
ZIP/Postal Code |
EDEN PRAIRIE |
MINNESOTA |
55344 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Pesh |
4241880 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
PROEQUITIES, INC. |
15708 |
Street Address 1 |
Street Address 2 |
1550 UTICA AVENUE SOUTH |
SUITE 400 |
City |
State/Province/Country |
ZIP/Postal Code |
MINNEAPOLIS |
MINNESOTA |
55416 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Albert Schiff |
413287 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NYLIFE SECURITIES LLC |
5167 |
Street Address 1 |
Street Address 2 |
281 TRESSER BLVD. |
SUITE 1110 |
City |
State/Province/Country |
ZIP/Postal Code |
STAMFORD |
CONNECTICUT |
06901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Louis Moore |
2465135 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
INDEPENDENCE CAPITAL CO.,
INC. |
24723 |
Street Address 1 |
Street Address 2 |
5579 PEARL ROAD |
SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
PARMA |
OHIO |
44129 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andy Roller |
4440500 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CFD INVESTMENTS, INC. |
25427 |
Street Address 1 |
Street Address 2 |
2704 S GOYER RD |
City |
State/Province/Country |
ZIP/Postal Code |
KOKOMO |
INDIANA |
46902 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Todd Andritsch |
4587201 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
PROEQUITIES, INC. |
15708 |
Street Address 1 |
Street Address 2 |
10051 WILD TURKEY ROW |
City |
State/Province/Country |
ZIP/Postal Code |
MCCORDSVILLE |
INDIANA |
46055 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Steven Cochlan |
1073586 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
LPL FINANCIAL LLC |
6413 |
Street Address 1 |
Street Address 2 |
1 WALKER AVE |
City |
State/Province/Country |
ZIP/Postal Code |
CLAREDON HILLS |
ILLINOIS |
60514 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Alan Meltzer |
1092083 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
MML INVESTORS SERVICES,
LLC |
10409 |
Street Address 1 |
Street Address 2 |
6500 ROCK SPRING DRIVE |
SUITE 400 |
City |
State/Province/Country |
ZIP/Postal Code |
BETHESDA |
MARYLAND |
20817 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew E Schiff |
2081669 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
VALMARK SECURITIES, INC. |
31243 |
Street Address 1 |
Street Address 2 |
51 HADDONFIELD RD. |
SUITE 125 |
City |
State/Province/Country |
ZIP/Postal Code |
CHERRY HILL |
NEW JERSEY |
08002 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Bremer |
1728513 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA BROKERAGE SERVICES,
INC. |
13941 |
Street Address 1 |
Street Address 2 |
5308 BREAKERS WAY |
City |
State/Province/Country |
ZIP/Postal Code |
CARMEL |
INDIANA |
46033 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lynn Butkus |
1776381 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
MINNESOTA |
NEW MEXICO |
OREGON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Paulseen |
358288 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NYLIFE SECURITIES LLC |
5167 |
Street Address 1 |
Street Address 2 |
281 TRESSER BLVD. |
SUITE 1110 |
City |
State/Province/Country |
ZIP/Postal Code |
STAMFORD |
CONNECTICUT |
06901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Aeramy Paulseen |
4317087 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NYLIFE SECURITIES LLC |
5167 |
Street Address 1 |
Street Address 2 |
281 TRESSER BLVD. |
SUITE 1110 |
City |
State/Province/Country |
ZIP/Postal Code |
STAMFORD |
CONNECTICUT |
06901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Karl Marzocchi |
322028 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA BROKERAGE SERVICES,
INC. |
13941 |
Street Address 1 |
Street Address 2 |
3393 DIAMOND HILL RD |
City |
State/Province/Country |
ZIP/Postal Code |
CUMBERLAND |
RHODE ISLAND |
02864 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Everett Noack |
1491187 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
BOSC, INC |
17530 |
Street Address 1 |
Street Address 2 |
4220 N. RODNEY PARHAM RD |
SUITE 300 |
City |
State/Province/Country |
ZIP/Postal Code |
LITTLE ROCK |
ARKANSAS |
72212 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
MARYLAND |
OREGON |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
William Chatfield |
1053051 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J.Alden Associates, Inc. |
40002 |
Street Address 1 |
Street Address 2 |
261 Old York Road |
Suite 837 |
City |
State/Province/Country |
ZIP/Postal Code |
Jenkintown |
PENNSYLVANIA |
19046 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Sheldon |
4709079 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J. Alden Associates, Inc. |
40002 |
Street Address 1 |
Street Address 2 |
261 Old York Road |
Suite 837 |
City |
State/Province/Country |
ZIP/Postal Code |
Jenkintown |
PENNSYLVANIA |
19046 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bryant Kirk |
1049653 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Clark Securities, Inc. |
43803 |
Street Address 1 |
Street Address 2 |
2100 Ross Avenue |
Suite 2200 |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75201-7906 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
J. Dave Hunter |
253478 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Gerald Middel |
333791 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Cameron McElhany |
5640818 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NYLIFE Securities LLC |
5167 |
Street Address 1 |
Street Address 2 |
281 Tressler Blvd. |
Suite 1110 |
City |
State/Province/Country |
ZIP/Postal Code |
Stamford |
CONNECTICUT |
06901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Arnold Winick |
5246949 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J.Alden Associates, Inc. |
40002 |
Street Address 1 |
Street Address 2 |
261 Old York Road |
Suite 837 |
City |
State/Province/Country |
ZIP/Postal Code |
Jenkintown |
PENNSYLVANIA |
19046 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
MAINE |
MASSACHUSETTS |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph Kelly |
1542651 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research, Inc. |
39543 |
Street Address 1 |
Street Address 2 |
1250 Tower Lane |
City |
State/Province/Country |
ZIP/Postal Code |
Erie |
PENNSYLVANIA |
16505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Charles Provow |
709844 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 N W Couch Street |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Deutsch |
1190666 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
HBW Securities LLC |
136959 |
Street Address 1 |
Street Address 2 |
6802 Paragon Place |
Suite 126 |
City |
State/Province/Country |
ZIP/Postal Code |
Richmond |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Donald Curristan |
3049436 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 N.W. Couch Street |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Moreno |
3132915 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA Brokerage Services, Inc. |
13941 |
Street Address 1 |
Street Address 2 |
2009 E Cedar Pl |
City |
State/Province/Country |
ZIP/Postal Code |
Chandler |
ARIZONA |
85249 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
COLORADO |
MICHIGAN |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Lon P. Haines |
4839815 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independence Capital Co., Inc. |
24723 |
Street Address 1 |
Street Address 2 |
5579 Pearl Road |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Parma |
OHIO |
44129 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew Roquet |
5480983 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA Brokerage Services, Inc. |
13941 |
Street Address 1 |
Street Address 2 |
5710 Mineral Point Road |
City |
State/Province/Country |
ZIP/Postal Code |
Madison |
WISCONSIN |
53719 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
IOWA |
MINNESOTA |
MISSOURI |
NORTH DAKOTA |
SOUTH DAKOTA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Krizek |
807430 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
500 Elm Grove Road |
Suite 103 |
City |
State/Province/Country |
ZIP/Postal Code |
Elm Grove |
WISCONSIN |
53122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott Krizek |
2435201 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
500 Elm Grove Road |
Suite 103 |
City |
State/Province/Country |
ZIP/Postal Code |
Elm Grove |
WISCONSIN |
53122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bruce Bauer |
1210726 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA Brokerage Services, Inc. |
13941 |
Street Address 1 |
Street Address 2 |
7769 E Overlook Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85255 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
HAWAII |
NEW MEXICO |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Downey |
2944180 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA Brokerage Services, Iinc. |
13941 |
Street Address 1 |
Street Address 2 |
753 Masons Beach |
City |
State/Province/Country |
ZIP/Postal Code |
Deale |
MARYLAND |
20751 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
NEW JERSEY |
PENNSYLVANIA |
VIRGINIA |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard J Brock |
1209197 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP SECURITIES, INC. |
42046 |
Street Address 1 |
Street Address 2 |
1816 EAST SEVENTH STREET |
City |
State/Province/Country |
ZIP/Postal Code |
CHARLOTTE |
NORTH CAROLINA |
28204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
George Diamantis |
1311320 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
LPL FINANCIAL LLC |
6413 |
Street Address 1 |
Street Address 2 |
3580 PIERCE DRIVE |
SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
CHAMBLEE |
GEORGIA |
30341 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark Wilson |
2049281 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
CUNA BROKERAGE SERVICES,
INC. |
13941 |
Street Address 1 |
Street Address 2 |
4284 SADDLEWOOD FOREST
DRIVE |
City |
State/Province/Country |
ZIP/Postal Code |
WINSTON SALEM |
NORTH CAROLINA |
27106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Louis C. Ciliberti |
2074634 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
AMERICAN PORTFOLIOS
FINANCIAL SERVICES, INC. |
18487 |
Street Address 1 |
Street Address 2 |
1800 WALT WHITMAN RD |
SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
MELVILLE |
NEW YORK |
11747 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Brock |
1209197 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NFP SECURITIES, INC. |
42046 |
Street Address 1 |
Street Address 2 |
2106 28TH ST CRT NW |
City |
State/Province/Country |
ZIP/Postal Code |
GIG HARBOR |
WASHINGTON |
98335 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Cheney |
45355 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark W. Boomgaarden |
3121019 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Douglas P. Dreyer |
4007479 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NORTWESTERN MUTUAL
INVESTMENT SERVICES, LLC |
2881 |
Street Address 1 |
Street Address 2 |
875 3rd Ave |
FL 23 |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott Richardson |
3192397 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
HOULIHAN LOKEY CAPITAL,
INC. |
17708 |
Street Address 1 |
Street Address 2 |
225 SOUTH 6th STREET |
SUITE 4950 |
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 |
|
PAUL E. EVANS |
713063 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
SECURITIES AMERICA, INC. |
10205 |
Street Address 1 |
Street Address 2 |
16677 DULUTH AVE. SE |
City |
State/Province/Country |
ZIP/Postal Code |
PRIOR LAKE |
MINNESOTA |
55372 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
DAVID A. SOCZEK |
2316655 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
PROEQUITIES, INC. |
15708 |
Street Address 1 |
Street Address 2 |
1550 UTICA AVENUE SOUTH |
SUITE 400 |
City |
State/Province/Country |
ZIP/Postal Code |
MINNEAPOLIS |
MINNESOTA |
55416 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Shirley Ann Huang McMillan |
2027520 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
M Holdings Securities, Inc. |
43285 |
Street Address 1 |
Street Address 2 |
1125 NW Couch St. |
Suite 900 |
City |
State/Province/Country |
ZIP/Postal Code |
Portland |
OREGON |
97209 |
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 |
|
USD |
|
Total Amount Sold |
$660,486,717
|
USD |
Total Remaining to be Sold |
|
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 |
$40,000,000
|
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):
As the issuer of the variable life insurance policies, JH Life Insurance Company (USA) will receive amounts from charges deducted under policies, but no executive officer, director, or promoter will receive any portion of the gross offering proceeds.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 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 |
John Hancock Life Insurance Co (U.S.A.) Separate Account P |
/s/ James C. Hoodlet |
James C. Hoodlet |
Vice President, John Hancock Life Insurance Company (U.S.A.) |
2016-12-19 |
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.