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. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D
Notice of Exempt Offering of Securities
|
| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
| 0001682966 |
| GPB Waste Management Fund, LP |
|
| |
Corporation |
| X |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| GPB Waste Management, LP |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2016 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| GPB Waste Management, LP |
| Street Address 1 |
Street Address 2 |
| 535 WEST 24TH STREET, 4TH FLOOR |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| NEW YORK |
NEW YORK |
10011 |
212.235.2658 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| GPB Capital Holdings LLC |
n/a |
| Street Address 1 |
Street Address 2 |
| 535 West 24th Street |
4th Floor |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10011 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
General Partner of the Issuer
| Last Name |
First Name |
Middle Name |
| Gentile |
David |
| Street Address 1 |
Street Address 2 |
| 535 West 24th Street |
4th Floor |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10011 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Managing Member of the General Partner of the Issuer
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| X |
Pooled Investment Fund |
|
| |
Hedge Fund |
| |
Private Equity Fund |
| |
Venture Capital Fund |
| X |
Other Investment Fund |
|
|
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
|
|
|
|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
|
|
|
|
|
Retailing |
|
Restaurants |
|
Technology |
|
|
|
|
|
|
|
Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
|
|
|
Other |
|
5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| |
No Revenues |
|
No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
|
$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
|
$5,000,001 - $25,000,000 |
| |
$5,000,001 - $25,000,000 |
|
$25,000,001 - $50,000,000 |
| |
$25,000,001 - $100,000,000 |
|
$50,000,001 - $100,000,000 |
| |
Over $100,000,000 |
|
Over $100,000,000 |
| |
Decline to Disclose |
X |
Decline to Disclose |
| |
Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
|
| |
Rule 504 (b)(1)(i) |
|
| |
Rule 504 (b)(1)(ii) |
|
| |
Rule 504 (b)(1)(iii) |
|
| X |
Rule 506(b) |
|
| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| |
Investment Company Act Section 3(c) |
|
| |
Section 3(c)(1) |
|
Section 3(c)(9) |
|
| |
Section 3(c)(2) |
|
Section 3(c)(10) |
|
| |
Section 3(c)(3) |
|
Section 3(c)(11) |
|
| |
Section 3(c)(4) |
|
Section 3(c)(12) |
|
| |
Section 3(c)(5) |
|
Section 3(c)(13) |
|
| |
Section 3(c)(6) |
|
Section 3(c)(14) |
|
|
|
7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2016-09-01 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| |
Equity |
|
Pooled Investment Fund Interests |
| |
Debt |
|
Tenant-in-Common Securities |
| |
Option, Warrant or Other Right to Acquire Another Security |
|
Mineral Property Securities |
| |
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
X |
Other (describe) |
|
LP Interests |
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$50,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Axiom Capital Management, Inc |
26580 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Axiom Capital Management, Inc |
26580 |
| Street Address 1 |
Street Address 2 |
| 780 Third Ave |
43rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BCG Securities, Inc. |
70 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| BCG Securities, Inc. |
70 |
| Street Address 1 |
Street Address 2 |
| 51 HADDONFIELD ROAD |
SUITE 210 |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Moloney Securities Co., Inc. |
38535 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Moloney Securities Co., Inc. |
38535 |
| Street Address 1 |
Street Address 2 |
| 13537 BARRETT PARKWAY DRIVE |
#300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| MANCHESTER |
MISSOURI |
63021 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Whitehall-Parker Securities, Inc. |
10608 |
| (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 |
|
|
| WASHINGTON |
| NEW YORK |
| NEVADA |
| TEXAS |
| COLORADO |
| ARIZONA |
| CALIFORNIA |
| OREGON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dempsey Lord Smith, LLC |
141238 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Dempsey Lord Smith, LLC |
141238 |
| Street Address 1 |
Street Address 2 |
| 901 N BROAD STREET |
SUITE 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rome |
GEORGIA |
30161 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| DELAWARE |
| WYOMING |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| NEW HAMPSHIRE |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| AUSDAL FINANCIAL PARTNERS, INC. |
7995 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AUSDAL FINANCIAL PARTNERS, INC. |
7995 |
| Street Address 1 |
Street Address 2 |
| 5187 UTICA RIDGE RD |
| City |
State/Province/Country |
ZIP/Postal Code |
| DAVENPORT |
IOWA |
52807 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CENTER STREET SECURITIES, INC. |
26898 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CENTER STREET SECURITIES, INC. |
26898 |
| Street Address 1 |
Street Address 2 |
| 2740 OLD ELM HILL PIKE |
SUITE 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| NASHVILLE |
TENNESSEE |
37214 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| COASTAL EQUITIES, INC. |
23769 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| COASTAL EQUITIES, INC. |
23769 |
| Street Address 1 |
Street Address 2 |
| 1201 N. ORANGE STREET |
SUITE 729 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WILMINGTON |
DELAWARE |
19801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CONCORDE INVESTMENT SERVICES, LLC |
151604 |
| (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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CRYSTAL BAY SECURITIES INC. |
142339 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CRYSTAL BAY SECURITIES INC. |
142339 |
| Street Address 1 |
Street Address 2 |
| 7499 WEST ATLANTIC AVENUE |
SUITE 208 |
| City |
State/Province/Country |
ZIP/Postal Code |
| DELRAY BEACH |
FLORIDA |
33446 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| SOUTH CAROLINA |
| NEW YORK |
| NEW JERSEY |
| CONNECTICUT |
| OHIO |
| TEXAS |
| FLORIDA |
| CALIFORNIA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| EMERSON EQUITY LLC |
130032 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| EMERSON EQUITY LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 155 BOVET ROAD |
SUITE 725 |
| City |
State/Province/Country |
ZIP/Postal Code |
| SAN MATEO |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FINANCIAL WEST GROUP |
16668 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FINANCIAL WEST GROUP |
16668 |
| Street Address 1 |
Street Address 2 |
| 4510 E. THOUSAND OAKS BLVD |
| City |
State/Province/Country |
ZIP/Postal Code |
| WESTLAKE VILLAGE |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| GENEOS WEALTH MANAGEMENT, INC. |
120894 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| GENEOS WEALTH MANAGEMENT, INC. |
120894 |
| Street Address 1 |
Street Address 2 |
| 9055 E MINERAL CIRCLE |
SUITE 200 |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MCNALLY FINANCIAL SERVICES CORPORATION |
121196 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MCNALLY FINANCIAL SERVICES CORPORATION |
121196 |
| Street Address 1 |
Street Address 2 |
| 16414 SAN PEDRO |
SUITE 930 |
| City |
State/Province/Country |
ZIP/Postal Code |
| SAN ANTONIO |
TEXAS |
78232 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| IDAHO |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| ARKANSAS |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MISSISSIPPI |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LION STREET FINANCIAL, LLC |
165828 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LION STREET FINANCIAL, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 515 CONGRESS AVE |
SUITE 2500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| AUSTIN |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KALOS CAPITAL, INC. |
44337 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KALOS CAPITAL, INC. |
44337 |
| Street Address 1 |
Street Address 2 |
| 11525 PARK WOODS CIRCLE |
SUITE 280 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ALPHARETTA |
GEORGIA |
30005 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| IBN FINANCIAL SERVICES, INC. |
42360 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IBN FINANCIAL SERVICES, INC. |
42360 |
| Street Address 1 |
Street Address 2 |
| 8035 OSWEGO RD. |
| City |
State/Province/Country |
ZIP/Postal Code |
| LIVERPOOL |
NEW YORK |
13090 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| VERMONT |
| RHODE ISLAND |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| DELAWARE |
| IOWA |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| ILLINOIS |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MISSISSIPPI |
| LOUISIANA |
| NEW HAMPSHIRE |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| IMS SECURITIES, INC. |
35567 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| IMS SECURITIES, INC. |
35567 |
| Street Address 1 |
Street Address 2 |
| 10205 WESTHEIMER |
SUITE 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| HOUSTON |
TEXAS |
77042 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| VERMONT |
| RHODE ISLAND |
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| WYOMING |
| FLORIDA |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, L.P. |
6312 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MONEY CONCEPTS CAPITAL CORP |
12963 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MONEY CONCEPTS CAPITAL CORP |
12963 |
| Street Address 1 |
Street Address 2 |
| 11440 NORTH JOG ROAD |
| City |
State/Province/Country |
ZIP/Postal Code |
| PALM BEACH GARDENS |
FLORIDA |
33418 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NATIONAL SECURITIES CORPORATION |
7569 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NATIONAL SECURITIES CORPORATION |
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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ORCHARD SECURITIES, LLC |
133378 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ORCHARD SECURITIES, LLC |
133378 |
| Street Address 1 |
Street Address 2 |
| 401 S. 850 E. |
SUITE C1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lehi |
UTAH |
84043 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PARITER SECURITIES, LLC |
127836 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PARITER SECURITIES, LLC |
127836 |
| Street Address 1 |
Street Address 2 |
| 243 CARRETERA #2 |
| City |
State/Province/Country |
ZIP/Postal Code |
| GUAYNABO |
PUERTO RICO |
00966 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| NEW YORK |
| PUERTO RICO |
| FLORIDA |
| CALIFORNIA |
| MARYLAND |
| MASSACHUSETTS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SANDLAPPER SECURITIES, LLC |
137906 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SANDLAPPER SECURITIES, LLC |
137906 |
| Street Address 1 |
Street Address 2 |
| 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| VESTECH SECURITIES, INC. |
41409 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VESTECH SECURITIES, INC. |
41409 |
| Street Address 1 |
Street Address 2 |
| 11477 OLDE CABIN RD. |
SUITE 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ST. LOUIS |
MISSOURI |
63141 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| MICHIGAN |
| OHIO |
| IOWA |
| FLORIDA |
| SOUTH CAROLINA |
| ILLINOIS |
| UTAH |
| KENTUCKY |
| ARIZONA |
| MISSOURI |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| COLORADO |
| NORTH CAROLINA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| STEPHEN A. KOHN & ASSOCIATES, LTD. |
41067 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| STEPHEN A. KOHN & ASSOCIATES, LTD. |
41067 |
| Street Address 1 |
Street Address 2 |
| 7114 W. JEFFERSON AVE. |
SUITE 305 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAKEWOOD |
COLORADO |
80235 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| TENNESSEE |
| CALIFORNIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| WYOMING |
| FLORIDA |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KANSAS |
| OREGON |
| MONTANA |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| WESTERN INTERNATIONAL SECURITIES, INC. |
39262 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WESTERN INTERNATIONAL SECURITIES, 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| AEGIS CAPITAL CORP. |
15007 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AEGIS CAPITAL CORP. |
15007 |
| Street Address 1 |
Street Address 2 |
| 810 7TH AVE |
18TH & 22ND FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10019 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ADVISORY GROUP EQUITY SERVICES LTD. |
15427 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ADVISORY GROUP EQUITY SERVICES LTD. |
15427 |
| Street Address 1 |
Street Address 2 |
| 444 WASHINGTON STREET |
SUITE 407 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WOBURN |
MASSACHUSETTS |
01801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| INTERNATIONAL ASSETS ADVISORY, LLC |
10645 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INTERNATIONAL ASSETS ADVISORY, LLC |
10645 |
| Street Address 1 |
Street Address 2 |
| 390 NORTH ORANGE AVENUE |
STE 750 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ORLANDO |
FLORIDA |
32801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ARKADIOS CAPITAL |
282710 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ARKADIOS CAPITAL |
282710 |
| Street Address 1 |
Street Address 2 |
| 3333 PIEDMONT RD. NE |
SUITE 2010 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ATLANTA |
GEORGIA |
30305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| VERMONT |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| DELAWARE |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MISSISSIPPI |
| LOUISIANA |
| NEW HAMPSHIRE |
| WASHINGTON |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ASCENDANT ALTERNATIVE STRATEGIES, LLC |
283881 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ASCENDANT ALTERNATIVE STRATEGIES, LLC |
283881 |
| Street Address 1 |
Street Address 2 |
| 535 WEST 24TH ST. |
4TH FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10011 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CABOT LODGE SECURITIES LLC |
159712 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CABOT LODGE SECURITIES LLC |
159712 |
| Street Address 1 |
Street Address 2 |
| 200 VESEY STREET |
24TH FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10281 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| GVC CAPITAL LLC |
38923 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| GVC CAPITAL LLC |
38923 |
| Street Address 1 |
Street Address 2 |
| 5350 SO. ROSLYN ST, |
SUITE 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| GREENWOOD VILLAGE |
COLORADO |
80111 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| IDAHO |
| WYOMING |
| IOWA |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| MISSOURI |
| KANSAS |
| OREGON |
| MONTANA |
| LOUISIANA |
| NEW HAMPSHIRE |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| HIGHTOWER SECURITIES, LLC |
116681 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HIGHTOWER SECURITIES, LLC |
116681 |
| Street Address 1 |
Street Address 2 |
| 200 WEST MADISON STREET |
SUITE 2500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CHICAGO |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| INNOVATION PARTNERS LLC |
146344 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INNOVATION PARTNERS LLC |
146344 |
| Street Address 1 |
Street Address 2 |
| 5950 FAIRVIEW ROAD |
SUITE 806 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CHARLOTTE |
NORTH CAROLINA |
28210 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| KENTUCKY |
| WISCONSIN |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KINGSBURY CAPITAL, INC. |
7638 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KINGSBURY CAPITAL, INC. |
7638 |
| Street Address 1 |
Street Address 2 |
| 1560 SHERMAN AVE |
SUITE 510 |
| City |
State/Province/Country |
ZIP/Postal Code |
| EVANSTON |
ILLINOIS |
60201 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| WASHINGTON |
| ILLINOIS |
| NEW YORK |
| OHIO |
| DISTRICT OF COLUMBIA |
| TEXAS |
| WISCONSIN |
| COLORADO |
| ARIZONA |
| FLORIDA |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LUCIA SECURITIES, LLC |
37179 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LUCIA SECURITIES, LLC |
37179 |
| Street Address 1 |
Street Address 2 |
| 13520 EVENING CREEK DRIVE NORTH |
SUITE 300 |
| 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SENTINUS SECURITIES LLC |
279029 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SENTINUS SECURITIES LLC |
279029 |
| Street Address 1 |
Street Address 2 |
| 700 COMMERCE DRIVE |
SUITE 170 |
| 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 |
|
|
| UTAH |
| ILLINOIS |
| NEW YORK |
| INDIANA |
| GEORGIA |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| ARIZONA |
| KENTUCKY |
| CALIFORNIA |
| KANSAS |
| WASHINGTON |
| MICHIGAN |
| TEXAS |
| COLORADO |
| FLORIDA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TITAN SECURITIES |
131392 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TITAN SECURITIES |
131392 |
| Street Address 1 |
Street Address 2 |
| 16775 ADDISON ROAD |
SUITE 202 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ADDISON |
TEXAS |
75001 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| WYOMING |
| FLORIDA |
| MARYLAND |
| SOUTH DAKOTA |
| ARKANSAS |
| UTAH |
| INDIANA |
| WEST VIRGINIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| MISSOURI |
| KANSAS |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| COLORADO |
| NORTH CAROLINA |
| PENNSYLVANIA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| VANDERBILT SECURITIES, LLC |
5953 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VANDERBILT SECURITIES, LLC |
5953 |
| Street Address 1 |
Street Address 2 |
| 125 FROEHLICH FARM BLVD |
| City |
State/Province/Country |
ZIP/Postal Code |
| WOODBURY |
NEW YORK |
11797 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| KENTUCKY |
| WISCONSIN |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| WESTPARK CAPITAL, INC |
39914 |
| (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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
13. Offering and Sales Amounts
| Total Offering Amount |
|
USD |
|
| Total Amount Sold |
$135,012,605
|
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 |
$10,828,655
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
The General Partner, or its affiliate, is entitled to receive a management fee and an incentive allocation in an amount equal to
a specified percentage of the net asset value of each limited partner's capital account.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
| In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
| Issuer |
Signature |
Name of Signer |
Title |
Date |
| GPB Waste Management, LP |
Daniel M. Diamond |
Daniel M. Diamond |
Chief Compliance Officer of General Partner of Issuer |
2018-04-25 |
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.