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 |
0001726600 |
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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 |
National Multifamily Portfolio III DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2017 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
National Multifamily Portfolio III 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 |
35227118000 |
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 |
National Multifamily Portfolio III Exchange, L.L.C |
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 |
National Multifamily Portfolio III, L.L.C |
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 |
c/o Inland Private Capital Corporation |
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 |
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):
Director, President and Chief Operating Officer of the Sponsor
Last Name |
First Name |
Middle Name |
Sehgal |
Rahul |
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):
Director and Chief Investment Officer of the Sponsor
Last Name |
First Name |
Middle Name |
Goodwin |
Daniel |
L |
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: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
Last Name |
First Name |
Middle Name |
Lynch |
Catherine |
L |
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: |
|
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 |
c/o Inland Private Capital Corporation |
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 |
c/o Inland Private Capital Corporation |
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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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
| |
Rule 504 (b)(1)(i) |
| |
Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2017-12-19 |
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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 |
|
Robert Smith |
1412333 |
(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 |
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|
|
Recipient |
Recipient CRD Number |
|
None |
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Craig Sickler |
4222992 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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None |
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Tim Clairmont |
2847591 |
(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 |
|
All States |
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|
|
Recipient |
Recipient CRD Number |
|
None |
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Chay Lapin |
6275140 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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Recipient |
Recipient CRD Number |
|
None |
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David Dahill |
6581024 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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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 |
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Recipient |
Recipient CRD Number |
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None |
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John Harvey |
4227692 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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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 |
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Recipient |
Recipient CRD Number |
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None |
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Christina Nielson |
4866971 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Karl Norman |
349146 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Polar Investment Counsel, Inc. |
42847 |
Street Address 1 |
Street Address 2 |
19547 210TH AV NE |
City |
State/Province/Country |
ZIP/Postal Code |
THIEF RIVER FALLS |
MINNESOTA |
56701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Steven Kolinsky |
1090913 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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American Portfolios Financial Svcs |
18487 |
Street Address 1 |
Street Address 2 |
4250 VETERANS MEMORIAL HIGHWAY |
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 |
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Recipient |
Recipient CRD Number |
|
None |
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Mike Bendix |
5379777 |
(Associated) Broker or Dealer |
|
None |
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(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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Jack Creighton |
1495897 |
(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 |
|
|
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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 |
|
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 |
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None |
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Leon Rousso |
1012746 |
(Associated) Broker or Dealer |
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None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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Recipient |
Recipient CRD Number |
|
None |
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Gary Conley |
52159 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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American Investors Co Lsy Dba |
38 |
Street Address 1 |
Street Address 2 |
2440 CAMINO RAMON, SUITE 103 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN RAMON |
CALIFORNIA |
94583 |
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 Chess |
4812430 |
(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 |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Aaron Brodt |
5017914 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Peachtree Capital Corporation |
25590 |
Street Address 1 |
Street Address 2 |
550 PHARR RD, |
SUITE 700 |
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 |
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|
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Recipient |
Recipient CRD Number |
|
None |
|
Stacey Morimoto |
4420782 |
(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 |
|
Gary Hughes |
1700976 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 VICTOR PARKWAY |
SUITE 550 |
City |
State/Province/Country |
ZIP/Postal Code |
LIVONIA |
FLORIDA |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Marshel |
2442018 |
(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 |
|
Nancy Jauregui |
4237634 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research |
39543 |
Street Address 1 |
Street Address 2 |
1776 PLEASANT PLAIN RD |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfield |
IOWA |
52556-8757 |
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 |
|
Paul Cese |
4558359 |
(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 |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Silver Portal Capital LLC |
170463 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
12265 El Camino Real |
Suite 230 |
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 |
|
Joral Schmalle |
4491484 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
300 PARKLAND PLAZA |
City |
State/Province/Country |
ZIP/Postal Code |
ANN ARBOR |
MICHIGAN |
48103-9508 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Walsh |
1855452 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Portfolios Financial Svcs |
18487 |
Street Address 1 |
Street Address 2 |
4250 VETERANS MEMORIAL HIGHWAY |
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 |
|
Joseph Broadbent |
3132498 |
(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 |
|
Jennifer Wildman |
4973672 |
(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 |
|
David Halpern |
4203076 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research |
39543 |
Street Address 1 |
Street Address 2 |
1776 PLEASANT PLAIN RD |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfield |
IOWA |
52556-8757 |
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 |
|
ames Raine |
2360466 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Questar Capital Corp. |
43100 |
Street Address 1 |
Street Address 2 |
5701 GOLDEN HILLS DRIVE |
City |
State/Province/Country |
ZIP/Postal Code |
MINNEAPOLIS |
MINNESOTA |
55416 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Levinson |
705929 |
(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 |
|
Larry Queen |
851743 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research |
39543 |
Street Address 1 |
Street Address 2 |
1776 PLEASANT PLAIN RD |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfield |
IOWA |
52556-8757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Markey |
320042 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Investors Co Lsy Dba |
38 |
Street Address 1 |
Street Address 2 |
2440 CAMINO RAMON, SUITE 103 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN RAMON |
CALIFORNIA |
94583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Toetz |
1379388 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independence Capital Corporation, Inc |
24723 |
Street Address 1 |
Street Address 2 |
5579 PEARL ROAD, SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
PARMA |
OHIO |
44129 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Walesa |
1061209 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
5155 PEACHTREE PARKWAY |
SUITE 3220 |
City |
State/Province/Country |
ZIP/Postal Code |
NORCROSS |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bryan Hakola |
4161289 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
oncorde 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 |
|
Paul Getty |
6470002 |
(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 |
|
Kathleen Williams-Price |
2450125 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lowell & Co, Inc. |
24913 |
Street Address 1 |
Street Address 2 |
4021 84TH ST |
SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
LUBBOCK |
TEXAS |
79423 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Steven Lichtblau |
1384239 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
5155 PEACHTREE PARKWAY |
SUITE 3220 |
City |
State/Province/Country |
ZIP/Postal Code |
NORCROSS |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stacey Morimoto |
4420782 |
(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 |
|
Robert Sick |
2831521 |
(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 |
|
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 |
|
Lena-jo Hartley |
2905105 |
(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 |
|
Michael Cullen |
1222982 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sagepoint Financial, Inc. |
133763 |
Street Address 1 |
Street Address 2 |
20 E THOMAS RD |
SUITE 2000 |
City |
State/Province/Country |
ZIP/Postal Code |
PHOENIX |
ARIZONA |
85012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joel Knight |
1379212 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Investors Co Lsy Dba |
38 |
Street Address 1 |
Street Address 2 |
2440 CAMINO RAMON, SUITE 103 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN RAMON |
CALIFORNIA |
94583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michele Martin |
5653595 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisor Networks, LLC |
13572 |
Street Address 1 |
Street Address 2 |
200 N. SEPULVEDA BLVD. |
SUITE 1300 |
City |
State/Province/Country |
ZIP/Postal Code |
EL SEGUNDO |
CALIFORNIA |
90245-5672 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Tae Chung Kim |
5637680 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3RD STREET NORTH |
City |
State/Province/Country |
ZIP/Postal Code |
OAKDALE |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Del Londono |
2695744 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sagepoint Financial, Inc. |
133763 |
Street Address 1 |
Street Address 2 |
20 E THOMAS RD |
SUITE 2000 |
City |
State/Province/Country |
ZIP/Postal Code |
PHOENIX |
ARIZONA |
85012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jonathan Twidwell |
5723365 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3RD STREET NORTH |
City |
State/Province/Country |
ZIP/Postal Code |
OAKDALE |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stephen Swarbrick |
2444058 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Questar Capital Corp. |
43100 |
Street Address 1 |
Street Address 2 |
5701 GOLDEN HILLS DRIVE |
City |
State/Province/Country |
ZIP/Postal Code |
MINNEAPOLIS |
MINNESOTA |
55416 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brett Ohlen |
6406246 |
(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 |
|
Kirk Dobson |
4049865 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp. |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Chris White |
1495944 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp. |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Roger Coit |
50331 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Investors Co Lsy Dba |
38 |
Street Address 1 |
Street Address 2 |
2440 CAMINO RAMON, SUITE 103 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN RAMON |
CALIFORNIA |
94583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Orest Baransky |
2808117 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Salvatore Agnello |
4180547 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3RD STREET NORTH |
City |
State/Province/Country |
ZIP/Postal Code |
OAKDALE |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Anders Haugen |
5227103 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisor Networks, LLC |
13572 |
Street Address 1 |
Street Address 2 |
200 N. SEPULVEDA BLVD. |
SUITE 1300 |
City |
State/Province/Country |
ZIP/Postal Code |
EL SEGUNDO |
CALIFORNIA |
90245-5672 |
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 |
|
Eric Scaff |
5281210 |
(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 |
|
Raymond DeWitt |
2894063 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corporation |
14303 |
Street Address 1 |
Street Address 2 |
300 PARKLAND PLAZA |
City |
State/Province/Country |
ZIP/Postal Code |
ANN ARBOR |
MICHIGAN |
48103-9508 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Busch |
2196367 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3RD STREET NORTH |
City |
State/Province/Country |
ZIP/Postal Code |
OAKDALE |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Neil Mc Auliffe |
1787693 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stacy Morimoto |
4420782 |
(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 |
|
Jason Finley |
6602034 |
(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 |
|
RCX Capital Group LLC |
114290 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Clyde Patton |
4560787 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research |
39543 |
Street Address 1 |
Street Address 2 |
1776 PLEASANT PLAIN RD. |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfield |
IOWA |
52556-8757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jay Hovis |
6647870 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sagepoint Financial, Inc. |
133763 |
Street Address 1 |
Street Address 2 |
20 E THOMAS RD |
SUITE 2000 |
City |
State/Province/Country |
ZIP/Postal Code |
Phoenix |
ARIZONA |
85012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Eric Holtz |
5821492 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Goff |
1919761 |
(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 |
|
Gregory Mankey |
4848080 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investment Planners, Inc. |
18557 |
Street Address 1 |
Street Address 2 |
226 W. ELDORADO STREET |
City |
State/Province/Country |
ZIP/Postal Code |
DECATUR |
ILLINOIS |
62522 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Gregory Rhodes |
2184542 |
(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 |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kirk Dobson |
4049865 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Christopher Riel |
6222615 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Scully |
803539 |
(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 |
|
Timothy Tehan |
3230535 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
5155 PEACHTREE PARKWAY |
SUITE 3220 |
City |
State/Province/Country |
ZIP/Postal Code |
NORCROSS |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Christopher Wright |
4134973 |
(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 |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Gordon Hamilton |
5028789 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Parkland Securities, LLC |
115368 |
Street Address 1 |
Street Address 2 |
300 PARKLAND PLAZA |
City |
State/Province/Country |
ZIP/Postal Code |
ANN ARBOR |
MICHIGAN |
48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Josh Griffin |
4664355 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Parkland Securities, LLC |
115368 |
Street Address 1 |
Street Address 2 |
300 PARKLAND PLAZA |
City |
State/Province/Country |
ZIP/Postal Code |
ANN ARBOR |
MICHIGAN |
48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Milan Madhani |
4365064 |
(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 |
|
Byron Ishiwata |
4610456 |
(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 |
|
Daniel Raupp |
4079107 |
(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 |
|
Dustin Tenbroeck |
5019784 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Allied Securities Inc. |
32444 |
Street Address 1 |
Street Address 2 |
655 WEST BROADWAY 12TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Torchia |
4434574 |
(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 |
|
Samuel Heller |
6688484 |
(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 |
|
Jeffrey McKay |
818303 |
(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 |
|
Kevin Myeroff |
1488440 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kirk Dobson |
4049865 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp. |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Melinda Olbert |
2893793 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisors, LLC |
10299 |
Street Address 1 |
Street Address 2 |
4600 SOUTH SYRACUSE STREET |
SUITE 600 |
City |
State/Province/Country |
ZIP/Postal Code |
DENVER |
COLORADO |
80237 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Franklin |
4799613 |
(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 |
|
Dave White |
464919 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp. |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey Arburn |
1475817 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3RD STREET NORTH |
City |
State/Province/Country |
ZIP/Postal Code |
OAKDALE |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Stone |
2280955 |
(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 |
|
Matthew Roberson |
3090052 |
(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 |
|
Robert Tweed |
2339324 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Nathan Kuhn |
4624143 |
(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 |
|
Debbie Birch |
4043371 |
(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 |
|
Dan Shimogawa |
4794100 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sagepoint Financial, Inc |
133763 |
Street Address 1 |
Street Address 2 |
20 E THOMAS RD |
SUITE 2000 |
City |
State/Province/Country |
ZIP/Postal Code |
PHOENIX |
ARIZONA |
85012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Horn |
1721412 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Peter Maniscalco |
4435025 |
(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 |
|
Shawn Williamson |
2829022 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
The Strategic Financial Alliance |
126514 |
Street Address 1 |
Street Address 2 |
2200 CENTURY PARKWAY |
SUITE 500 |
City |
State/Province/Country |
ZIP/Postal Code |
ATLANTA |
GEORGIA |
30345 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$100,617,339
|
USD |
|
Total Amount Sold |
$99,133,938
|
USD |
Total Remaining to be Sold |
$1,483,401
|
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 |
$8,954,943
|
USD |
|
Finders' Fees |
$0
|
USD |
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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 Persons.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).
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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 |
National Multifamily Portfolio III DST |
/s/ Joseph E. Binder |
Joseph E. Binder |
Senior VP of Member of Signatory Trustee of the Issuer |
2018-07-24 |
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.