The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
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Entity Type |
0001741029 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
X |
Business Trust |
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Other (Specify) |
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Name of Issuer |
Florida Multifamily Portfolio DST |
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 |
Florida Multifamily Portfolio DST |
Street Address 1 |
Street Address 2 |
C/- INLAND PRIVATE CAPITAL CORPORATION |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
OAK BROOK |
ILLINOIS |
60523 |
6302184916 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Inland Private Capital Corporation |
n/a |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name |
First Name |
Middle Name |
Florida Multifamily Exchange, LLC |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer
Last Name |
First Name |
Middle Name |
Florida Multifamily Portfolio, LLC |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer
Last Name |
First Name |
Middle Name |
Sabshon |
Mitchell |
A |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director and Chairman of the Board of the Sponsor
Last Name |
First Name |
Middle Name |
Lampi |
Keith |
D |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director, President and Chief Operating Officer of the Sponsor
Last Name |
First Name |
Middle Name |
Sehgal |
Rahul |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director and Chief Investment Officer of the Sponsor
Last Name |
First Name |
Middle Name |
Goodwin |
Daniel |
L |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
Last Name |
First Name |
Middle Name |
Lynch |
Catherine |
S |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
Last Name |
First Name |
Middle Name |
Matlin |
Roberta |
S |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
Last Name |
First Name |
Middle Name |
Parks |
Robert |
D |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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|
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Health Care |
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Manufacturing |
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Real Estate |
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|
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
|
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) |
| |
Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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|
Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
|
New Notice |
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Date of First Sale |
2018-05-07 |
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|
First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X |
Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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|
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$25,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
|
Troy Thomas |
4691720 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
ONE WEST BROAD STREET |
11TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
MASSACHUSETTS |
TENNESSEE |
|
Recipient |
Recipient CRD Number |
|
None |
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Peter Finnegan |
1336798 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Huntwicke Securities LLC |
146993 |
Street Address 1 |
Street Address 2 |
6 PARK STREET |
4,265,211 |
City |
State/Province/Country |
ZIP/Postal Code |
TOPSFIELD |
MASSACHUSETTS |
01983 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
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Chris Boynton |
4265211 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
Street Address 1 |
Street Address 2 |
12750 MERIT DRIVE |
SUITE 1200 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
|
Recipient |
Recipient CRD Number |
|
None |
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Corbin Thomas |
4234748 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
ONE WEST BROAD STREET |
11TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
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Inland Securities Corporation |
15807 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
OAK BROOK |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
|
Recipient |
Recipient CRD Number |
|
None |
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James Lamont |
2846228 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Whitehall-Parker Securities, Inc. |
10608 |
Street Address 1 |
Street Address 2 |
477 PACIFIC AVENUE-2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
SAN FRANCISCO |
CALIFORNIA |
94133 |
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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Iaian Filippini |
4708877 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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RCX Capital Group LLC |
114290 |
Street Address 1 |
Street Address 2 |
12707 HIGH BLUFF DRIVE |
SUITE #200 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92130 |
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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Scott Sheehan |
2328614 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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DFPG Investments, Inc. |
155576 |
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 |
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Recipient |
Recipient CRD Number |
|
None |
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Justin Lowy |
5935993 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Crown Capital Securities L.P. |
6312 |
Street Address 1 |
Street Address 2 |
725 TOWN & COUNTRY ROAD |
SUITE 530 |
City |
State/Province/Country |
ZIP/Postal Code |
ORANGE |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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David Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Westpark Capital Inc |
39914 |
Street Address 1 |
Street Address 2 |
1900 AVENUE OF THE STARS |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
LOS ANGELES |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
|
Recipient |
Recipient CRD Number |
|
None |
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Biho Cha |
4330839 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
ONE WEST BROAD STREET |
11TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
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Ronald Cole |
1434325 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
Street Address 1 |
Street Address 2 |
304 INVERNESS WAY SOUTH |
SUITE 355 |
City |
State/Province/Country |
ZIP/Postal Code |
CENTENNIAL |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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John Jenkins |
1163851 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arete Wealth Management, LLC. |
44856 |
Street Address 1 |
Street Address 2 |
1101 W LAKE STREET |
1ST FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
CHICAGO |
ILLINOIS |
60607 |
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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Edward Fernandez |
2956661 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Capulent LLC |
155155 |
Street Address 1 |
Street Address 2 |
4144 N 44TH STREET |
STE 3 |
City |
State/Province/Country |
ZIP/Postal Code |
PHOENIX |
ARIZONA |
85018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Dahill |
6581024 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
WealthForge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
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 |
|
|
CALIFORNIA |
NORTH CAROLINA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Timothy Whipple |
2829688 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Alexander Haviland |
6364128 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeff Graumlich |
4816380 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
Street Address 1 |
Street Address 2 |
304 INVERNESS WAY SOUTH |
SUITE 355 |
City |
State/Province/Country |
ZIP/Postal Code |
CENTENNIAL |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Kampbell |
4211321 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
Street Address 1 |
Street Address 2 |
699 WALNUT STREET |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
DES MOINES |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Adam Bryan |
5443986 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
ONE WEST BROAD STREET |
11TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Trawnegan Gall |
6266415 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
SANDLAPPER FINANCIAL CENTER |
800 E. NORTH STREET, 2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
GREENVILLE |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Christina Nielson |
4866971 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Primex Prime Electronic Execution Inc |
29394 |
Street Address 1 |
Street Address 2 |
54 WEST 21ST STREET |
12TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
NEW YORK |
NEW YORK |
10010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark Gopen |
2989672 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
National Securities Corp. |
7569 |
Street Address 1 |
Street Address 2 |
ONE UNION SQUARE 600 UNIVERSITY STREET |
SUITE 2900 |
City |
State/Province/Country |
ZIP/Postal Code |
SEATTLE |
WASHINGTON |
98101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Vosberg |
4476509 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
2300 E. KATELLA AVENUE |
SUITE #200 |
City |
State/Province/Country |
ZIP/Postal Code |
ANAHEIM |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Watkins |
4972335 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Simmons First Investment Group Inc |
47439 |
Street Address 1 |
Street Address 2 |
11700 CANTRELL ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
Little Rock |
ARKANSAS |
72223 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Shelley Cole |
2554859 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
Street Address 1 |
Street Address 2 |
699 WALNUT STREET |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
DES MOINES |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Charlton |
4410333 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
Street Address 1 |
Street Address 2 |
12750 MERIT DRIVE |
SUITE 1200 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ivan West |
4921015 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital Inc |
39914 |
Street Address 1 |
Street Address 2 |
1900 AVENUE OF THE STARS |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
Los Angeles |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Evan Dickens |
6001407 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
Street Address 1 |
Street Address 2 |
12750 MERIT DRIVE |
SUITE 1200 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Paine |
2285372 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
2300 E. KATELLA AVENUE |
SUITE #200 |
City |
State/Province/Country |
ZIP/Postal Code |
ANAHEIM |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dan Werry |
4721789 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 E. COLORADO BLVD., SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Franklin |
5390262 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lois Leynse |
2949395 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H.D. Vest Investment Securites Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWAY 161 |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andres Ichaso |
6265351 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 E. COLORADO BLVD., SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
HAWAII |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Dinesh Gupta |
6469999 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lightpath Capital Inc. |
34617 |
Street Address 1 |
Street Address 2 |
1453 THIRD STREET PROMENADE |
SUTIE 315 |
City |
State/Province/Country |
ZIP/Postal Code |
Los Angeles |
CALIFORNIA |
90401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Grant Conness |
4778193 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Madison Avenue Securities, LLC |
23224 |
Street Address 1 |
Street Address 2 |
15050 AVENUE OF SCIENCE |
SUITE 150 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kyle Imholte |
5448950 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
Street Address 1 |
Street Address 2 |
12750 MERIT DRIVE |
SUITE 1200 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Konstantin Chrenow |
4175488 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kovack Securities, Inc. |
44848 |
Street Address 1 |
Street Address 2 |
6451 N. FEDERAL HWY. |
SUITE 1201 |
City |
State/Province/Country |
ZIP/Postal Code |
FT. LAUDERDALE |
FLORIDA |
33308 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey Bangerter |
1687028 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Berthel Fisher & Co Financial Svcs |
13609 |
Street Address 1 |
Street Address 2 |
4201 42nd Street NE |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Cedar Rapids |
IOWA |
52402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jody Otto |
1587943 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Securities America Inc. |
10205 |
Street Address 1 |
Street Address 2 |
12325 Port Grace Blvd |
City |
State/Province/Country |
ZIP/Postal Code |
Lavista |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Pompei |
1439110 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securities LP |
6312 |
Street Address 1 |
Street Address 2 |
725 Town & Country Road |
Suite 530 |
City |
State/Province/Country |
ZIP/Postal Code |
Orange |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stephen Holt |
5900842 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 E. Colorado Blvd |
Suite 310 |
City |
State/Province/Country |
ZIP/Postal Code |
Pasadena |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Douglas Langley |
4177405 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
Street Address 1 |
Street Address 2 |
12750 Merit Drive |
Suite 1200 |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Nir Regev |
1847410 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
9017 S Riverside Drive |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Sandy |
UTAH |
94070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Vento |
2082971 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H.D Vest Investment Securities Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 North State Highway 161 |
4th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Irving |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lynn Rotz |
5884398 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
Street Address 1 |
Street Address 2 |
12750 MERIT DRIVE |
SUITE 1200 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Timur Mezhlumov |
3194023 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H.D Vest Investment Securities Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 North State Hwy 161 |
4th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Irving |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ryan Haag |
2432783 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Advisors |
3978 |
Street Address 1 |
Street Address 2 |
1300 South Clinton Street |
Suite 150 |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Wayne |
INDIANA |
46802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Terry Shea |
1654953 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Whitehall-Parker Securities Inc. |
10608 |
Street Address 1 |
Street Address 2 |
477 Pacific Avenue |
2nd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94133 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Keith Patterson |
2131574 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc |
7684 |
Street Address 1 |
Street Address 2 |
4400 Biscayne Blvd |
11th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Miami |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason McMurtry |
2871788 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital Inc |
39914 |
Street Address 1 |
Street Address 2 |
1900 Avenue of the Stars |
Suite 310 |
City |
State/Province/Country |
ZIP/Postal Code |
Los Angeles |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Walesa |
1061209 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc |
118583 |
Street Address 1 |
Street Address 2 |
3623 N. Elm Street |
Suite 102 |
City |
State/Province/Country |
ZIP/Postal Code |
Greensboro |
NORTH CAROLINA |
27455 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Barbara Larson |
3069515 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H.D. Vest Investment Securites Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWAY 161 |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Azzara |
1050458 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Securities Corp |
3870 |
Street Address 1 |
Street Address 2 |
1300 S Clinton Street |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Wayne |
INDIANA |
46802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew Martz |
5118326 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Western International Secs Inc |
39262 |
Street Address 1 |
Street Address 2 |
70 South Lake Avenue |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Pasadena |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Eric Bicknese |
2829451 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Nationwide Planning Associates, Inc |
31029 |
Street Address 1 |
Street Address 2 |
115 WEST CENTURY ROAD |
SUITE 360 |
City |
State/Province/Country |
ZIP/Postal Code |
PARAMUS |
NEW JERSEY |
07652 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Adam Young |
6640146 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Nationwide Planning Associates, |
31029 |
Street Address 1 |
Street Address 2 |
115 WEST CENTURY ROAD |
SUITE 360 |
City |
State/Province/Country |
ZIP/Postal Code |
PARAMUS |
NEW JERSEY |
07652 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott Sheehan |
2328614 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Carmen Morrone |
1898874 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
4400 BISCAYNE BLVD |
11TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
Miami |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Marcel Pahmer |
4565391 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
2300 E. KATELLA AVENUE |
SUITE #200 |
City |
State/Province/Country |
ZIP/Postal Code |
ANAHEIM, |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Roger Gamble |
1577458 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Client One Securities LLC |
152974 |
Street Address 1 |
Street Address 2 |
11460 TOMAHAWK CREEK PARKWAY |
City |
State/Province/Country |
ZIP/Postal Code |
LEAWOOD |
KANSAS |
66211 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Parry |
1877092 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc |
118583 |
Street Address 1 |
Street Address 2 |
3623 N. ELM STREET SUITE 102 |
City |
State/Province/Country |
ZIP/Postal Code |
GREENSBORO |
NORTH CAROLINA |
27455 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Edward Waldron |
2216457 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Advisors |
3978 |
Street Address 1 |
Street Address 2 |
1300 SOUTH CLINTON STREET |
SUITE 150 |
City |
State/Province/Country |
ZIP/Postal Code |
FORT WAYNE |
INDIANA |
46802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bryan Decker |
5527656 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
Street Address 1 |
Street Address 2 |
12750 MERIT DRIVE |
SUITE 1200 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Wil Felix |
2693672 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Primex Prime Electronic Execution Inc |
29394 |
Street Address 1 |
Street Address 2 |
54 WEST 21ST STREET |
12TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
NEW YORK |
NEW YORK |
10010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joshua Koehnen |
4551444 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
12671 HIGH BLUFF DRIVE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
George Vieth |
1925999 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
Street Address 1 |
Street Address 2 |
699 WALNUT STREET |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Des Moines |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Peter Mc Neil |
4378567 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Christopher Halbleib |
6369710 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H.D. Vest Investment Securites Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWAY 161 |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jared Sutton |
5600742 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
Street Address 1 |
Street Address 2 |
699 Walnut Street |
Suite 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Des Moines |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Chess |
4812430 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7584 |
Street Address 1 |
Street Address 2 |
4400 Biscayne Blvd |
11th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Miami |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Patrick Conway |
1337831 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7584 |
Street Address 1 |
Street Address 2 |
4400 Biscayne Blvd |
11th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Miami |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Rohn Hein |
1386094 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Portfolio Financial Svcs |
18487 |
Street Address 1 |
Street Address 2 |
4250 Veterans Memorial Hwy |
4th Floor East |
City |
State/Province/Country |
ZIP/Postal Code |
Holbrook |
NEW YORK |
11741 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Carl Worden |
3130121 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
2300 E. Katella Ave |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Anaheim |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Warren Thomas |
2299254 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lighthouse Capital Group LLC |
169135 |
Street Address 1 |
Street Address 2 |
1055 E. Colorado Blvd |
Suite 310 |
City |
State/Province/Country |
ZIP/Postal Code |
Pasadena |
CALIFORNIA |
91106 |
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 |
$36,472,643
|
USD |
|
Total Amount Sold |
$36,438,160
|
USD |
Total Remaining to be Sold |
$34,483
|
USD |
|
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion.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 |
$3,246,065
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fee that may be paid to one or more Related Persons.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):
Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs and offering and organizational expenses that may accrue to one or more Related PersonsSignature 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 |
Florida Multifamily Portfolio DST |
/s/ Keith D. Lampi |
Keith D. Lampi |
President of Member of Signatory Trustee of the Issuer |
2018-10-30 |
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.