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 |
0001733265 |
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Corporation |
X |
Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
MDS 2018-Marcellus Shale Development, LP |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2015 |
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Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
MDS 2018-Marcellus Shale Development, LP |
Street Address 1 |
Street Address 2 |
409 BUTLER ROAD |
SUITE A |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
KITTANNING |
PENNSYLVANIA |
16201 |
724-919-8703 |
3. Related Persons
Last Name |
First Name |
Middle Name |
MDS Energy Development, LLC |
- |
Street Address 1 |
Street Address 2 |
409 Butler Road |
Suite A |
City |
State/Province/Country |
ZIP/PostalCode |
Kittanning |
PENNSYLVANIA |
16201 |
Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Managing General Partner of the Issuer
Last Name |
First Name |
Middle Name |
Snyder |
Michael |
D. |
Street Address 1 |
Street Address 2 |
409 Butler Road |
Suite A |
City |
State/Province/Country |
ZIP/PostalCode |
Kittanning |
PENNSYLVANIA |
16201 |
Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
President, Chief Executive Officer of the Managing General Partner
Last Name |
First Name |
Middle Name |
Morris, Jr. |
Randall |
L. |
Street Address 1 |
Street Address 2 |
409 Butler Road |
Suite A |
City |
State/Province/Country |
ZIP/PostalCode |
Kittanning |
PENNSYLVANIA |
16201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chief Operating Officer for the Managing General Partner
Last Name |
First Name |
Middle Name |
Knapp |
Michael |
S. |
Street Address 1 |
Street Address 2 |
409 Butler Road |
Suite A |
City |
State/Province/Country |
ZIP/PostalCode |
Kittanning |
PENNSYLVANIA |
16201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chief Marketing Officer for the Managing General Partner
Last Name |
First Name |
Middle Name |
Zellman |
Adam |
W. |
Street Address 1 |
Street Address 2 |
409 Butler Road |
Suite A |
City |
State/Province/Country |
ZIP/PostalCode |
Kittanning |
PENNSYLVANIA |
16201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Vice President of Natural Gas Operations for the Managing General Partner
Last Name |
First Name |
Middle Name |
Knapp |
Jason |
C. |
Street Address 1 |
Street Address 2 |
409 Butler Road |
Suite A |
City |
State/Province/Country |
ZIP/PostalCode |
Kittanning |
PENNSYLVANIA |
16201 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Vice President of Finance and Secretary for the Managing General Partner
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) |
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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 |
2018-06-16 |
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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 |
$20,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
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Arete Wealth Management, LLC |
44856 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1101 W. Lake Street |
1st Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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ALASKA |
ARIZONA |
CALIFORNIA |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
LOUISIANA |
MARYLAND |
MICHIGAN |
MISSOURI |
NEVADA |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OREGON |
PENNSYLVANIA |
SOUTH DAKOTA |
VIRGINIA |
WASHINGTON |
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Recipient |
Recipient CRD Number |
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None |
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Ausdal Financial Partners, Inc. |
7995 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
5187 Utica Ridge Road |
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 |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
FLORIDA |
GEORGIA |
ILLINOIS |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEVADA |
OHIO |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
WASHINGTON |
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Recipient |
Recipient CRD Number |
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None |
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Berthel, Fisher & Company Financial Services, Inc. |
13609 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
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COLORADO |
IOWA |
NORTH CAROLINA |
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Recipient |
Recipient CRD Number |
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None |
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Cambridge Investment Research, Inc. |
39543 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1776 Pleasant Plain Road |
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 |
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All States |
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ALABAMA |
ALASKA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
TEXAS |
VIRGINIA |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
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Newbridge Securities Corporation |
104065 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
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None |
None |
Street Address 1 |
Street Address 2 |
5200 Town Center Circle |
Tower 1, Suite 306 |
City |
State/Province/Country |
ZIP/Postal Code |
Boca Raton |
FLORIDA |
33486 |
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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CALIFORNIA |
CONNECTICUT |
FLORIDA |
GEORGIA |
ILLINOIS |
INDIANA |
MASSACHUSETTS |
MICHIGAN |
NEW JERSEY |
NEW YORK |
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Recipient |
Recipient CRD Number |
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None |
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Triad Advisors LLC |
25803 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
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None |
None |
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 |
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CALIFORNIA |
FLORIDA |
GEORGIA |
INDIANA |
MARYLAND |
MICHIGAN |
MINNESOTA |
NEW YORK |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
VIRGINIA |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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Voya Financial Partners, LLC |
34815 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
One Orange Way |
City |
State/Province/Country |
ZIP/Postal Code |
Windsor |
CONNECTICUT |
06095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
FLORIDA |
GEORGIA |
HAWAII |
ILLINOIS |
IOWA |
KANSAS |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
NEBRASKA |
NEW YORK |
NORTH CAROLINA |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
VIRGINIA |
WASHINGTON |
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Recipient |
Recipient CRD Number |
|
None |
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W. Warren Gerety |
2662678 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Advisory Group Equity Services Ltd. |
15427 |
Street Address 1 |
Street Address 2 |
38 Hall Road |
City |
State/Province/Country |
ZIP/Postal Code |
Fremont |
NEW HAMPSHIRE |
03044 |
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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Jason Corey Griggs |
4795395 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
10739 Deerwood Park |
Blvd. #105 |
City |
State/Province/Country |
ZIP/Postal Code |
Jacksonville |
FLORIDA |
32256 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Michael J. Sievert |
2127441 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
10739 Deerwood Park |
Blvd. #105 |
City |
State/Province/Country |
ZIP/Postal Code |
Jacksonville |
FLORIDA |
32256 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Stanley Lewandoski |
4476450 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
10739 Deerwood Park |
Blvd. #105 |
City |
State/Province/Country |
ZIP/Postal Code |
Jacksonville |
FLORIDA |
32256 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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Chad E. Loveland |
2837851 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Aspen Capital Management LLC |
226559 |
Street Address 1 |
Street Address 2 |
1173 South 250 West |
Suite 105 |
City |
State/Province/Country |
ZIP/Postal Code |
Saint George |
UTAH |
84770 |
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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John R. Crosier |
2787111 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Aspen Capital Management LLC |
226559 |
Street Address 1 |
Street Address 2 |
1173 South 250 West |
Suite 105 |
City |
State/Province/Country |
ZIP/Postal Code |
Saint George |
UTAH |
84770 |
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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Jeffrey Scott Zych |
5760431 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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BD4RIA, Inc. |
290240 |
Street Address 1 |
Street Address 2 |
4725 S. Monaco Street |
Suite 205 |
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 |
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Recipient |
Recipient CRD Number |
|
None |
|
David E. Kranz |
5605407 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Belpointe Asset Management LLC |
143440 |
Street Address 1 |
Street Address 2 |
3930 E. Ray Road |
Suite 155 |
City |
State/Province/Country |
ZIP/Postal Code |
Phoenix |
ARIZONA |
85044 |
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 |
|
Morris G. Nutt |
2891940 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chalice Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
8820 Trinity Road |
Suite 201 |
City |
State/Province/Country |
ZIP/Postal Code |
Cordova |
TENNESSEE |
38018 |
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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William Robert Young |
4787488 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chalice Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
2600 Tower Oaks Blvd. |
Suite 220 |
City |
State/Province/Country |
ZIP/Postal Code |
Rockville |
MARYLAND |
20852 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Eric Scott Felsenfeld |
4496689 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chalice Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
2600 Tower Oaks Blvd. |
Suite 220 |
City |
State/Province/Country |
ZIP/Postal Code |
Rockville |
MARYLAND |
20852 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Sterling V. Louviere |
2021328 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabin Securities, Inc. |
137608 |
Street Address 1 |
Street Address 2 |
140 S. Lake Avenue |
Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Pasadena |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Alfred Paul Jurewicz |
1330041 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabot Lodge Securities LLC |
159712 |
Street Address 1 |
Street Address 2 |
963 Ramsey street S. |
Box 441 |
City |
State/Province/Country |
ZIP/Postal Code |
Shakopee |
MINNESOTA |
55379 |
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 |
|
Jeffrey D. Noard |
1983392 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabot Lodge Securities LLC |
159712 |
Street Address 1 |
Street Address 2 |
N48W14336 Hampton Road |
City |
State/Province/Country |
ZIP/Postal Code |
Menomonee Falls |
WISCONSIN |
53051 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
COLORADO |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
Malcolm R. Warneford-Thomson |
4802657 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cabot Lodge Securities LLC |
159712 |
Street Address 1 |
Street Address 2 |
6802 Paragon Place |
Suite 410 |
City |
State/Province/Country |
ZIP/Postal Code |
Richmond |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Russel 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 |
2060 Huntington Drive |
Suite 1 |
City |
State/Province/Country |
ZIP/Postal Code |
San Marino |
CALIFORNIA |
91108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bennett Knapp Ely |
721298 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Calton & Associates, Inc. |
20999 |
Street Address 1 |
Street Address 2 |
2709 Jordan Grove |
City |
State/Province/Country |
ZIP/Postal Code |
West Des Moines |
IOWA |
50265-6465 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Derek E. Baltimore |
2540441 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Calton & Associates, Inc. |
20999 |
Street Address 1 |
Street Address 2 |
202 S. Maple Street |
#A |
City |
State/Province/Country |
ZIP/Postal Code |
Covington |
TENNESSEE |
38019 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Marc Alan Seeherman |
1131557 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Calton & Associates, Inc. |
20999 |
Street Address 1 |
Street Address 2 |
32 West 40th Street |
2nd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
NEW JERSEY |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew J. Dinkelmeyer |
5597768 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
10 Serna |
City |
State/Province/Country |
ZIP/Postal Code |
Rancho Santa Margarita |
CALIFORNIA |
92688 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
MONTANA |
NORTH DAKOTA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Dennis E. Gagnon |
4450130 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
4767 New Broad Street |
City |
State/Province/Country |
ZIP/Postal Code |
Orlando |
FLORIDA |
32814 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Pstrick Smith |
429070 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
2319 Hall Johnson Road |
Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Colleyville |
TEXAS |
76034 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Vincent K. Annable |
1033573 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
14354 N. Frank Lloyd Wright Blvd. |
Suite 10 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85260 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
ILLINOIS |
NEVADA |
TEXAS |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
|
David P. Rottschafer |
2410589 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisors LLC |
10299 |
Street Address 1 |
Street Address 2 |
271 Highway 74 N |
Suite 4 |
City |
State/Province/Country |
ZIP/Postal Code |
Peachtree City |
GEORGIA |
30269 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Randall Lewis Cooper |
2262624 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Financial Specialists LLC |
10358 |
Street Address 1 |
Street Address 2 |
870 High Street |
Suite 1 |
City |
State/Province/Country |
ZIP/Postal Code |
Chestertown |
MARYLAND |
21620 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michele Ann Pasquale |
3214037 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chapin, Davis |
28116 |
Street Address 1 |
Street Address 2 |
1411 Clarkview Road |
City |
State/Province/Country |
ZIP/Postal Code |
Baltimore |
MARYLAND |
21209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Frank R. Stanley |
2077505 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
ClaraPHI Advisory Network, LLC |
165868 |
Street Address 1 |
Street Address 2 |
25401 Cabot Road |
Suite 214 |
City |
State/Province/Country |
ZIP/Postal Code |
Laguna Hills |
CALIFORNIA |
92653 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Gregory Avery Ramirez |
2883461 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
ClaraPHI Advisory Network, LLC |
165868 |
Street Address 1 |
Street Address 2 |
25401 Cabot Road |
Suite 214 |
City |
State/Province/Country |
ZIP/Postal Code |
Laguna Hills |
CALIFORNIA |
92653 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Howard Leon Dingle |
4465905 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
ClaraPHI Advisory Network, LLC |
165868 |
Street Address 1 |
Street Address 2 |
25401 Cabot Road |
Suite 214 |
City |
State/Province/Country |
ZIP/Postal Code |
Laguna Hills |
CALIFORNIA |
92653 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Seyyed V. Nasr |
1052151 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
ClaraPHI Advisory Network, LLC |
165868 |
Street Address 1 |
Street Address 2 |
25401 Cabot Road |
Suite 214 |
City |
State/Province/Country |
ZIP/Postal Code |
Laguna Hills |
CALIFORNIA |
92653 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
Bobby Kyle Cowand |
2317710 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
9600 Escarpment Blvd. |
Suite 745-236 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78749 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Franklin Shenk |
2876098 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
2610 Rexwood Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Glen Rock |
PENNSYLVANIA |
17327 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kevin Todd Canterbury |
4939385 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
7231 E. Princess Blvd. |
Suite 201 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85255 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Ah Mueller |
2982867 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
312 Walnut Street |
Scripps Center, Suite 1600 |
City |
State/Province/Country |
ZIP/Postal Code |
Cincinnati |
OHIO |
45202 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Danielle Lula Rouseau |
4331014 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Dempsey Lord Smith, LLC |
141238 |
Street Address 1 |
Street Address 2 |
3308 Preston Road |
Suite 350-495 |
City |
State/Province/Country |
ZIP/Postal Code |
Plano |
TEXAS |
75093 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James R. McCurry |
6705995 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Travis Scott Jennings |
5753812 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Forrest James |
1263114 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
9940 Reseach Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael G. Culwell |
5989109 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
9940 Reseach Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Tony Barouti |
3031995 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
11661 San Vicente Blvd. |
Suite 414 |
City |
State/Province/Country |
ZIP/Postal Code |
Los Angeles |
CALIFORNIA |
90049 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dustin S. 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 |
12626 High Bluff Drive |
Suite 440 |
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 |
|
Steven P. Sappington |
2335721 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
G. A. Repple & Company |
17486 |
Street Address 1 |
Street Address 2 |
2341 Mt. Carmel Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Waco |
TEXAS |
76710 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brad Whalen |
2582276 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Green Vista Capital, LLC |
293630 |
Street Address 1 |
Street Address 2 |
222 N. Park Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
Winter Park |
FLORIDA |
32789 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Edwin Ambrose Day |
2469775 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Heritage Benefits Investment Management, LLC |
45797 |
Street Address 1 |
Street Address 2 |
11820 Northup Way |
Suite E200 |
City |
State/Province/Country |
ZIP/Postal Code |
Bellevue |
WASHINGTON |
98005 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Angelo J. Piccone |
1401761 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
37 Parkview Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Pittsford |
NEW YORK |
14534 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert M. Moskwa |
5325293 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
615 West Genesee Street |
Floor 2 |
City |
State/Province/Country |
ZIP/Postal Code |
Syracuse |
NEW YORK |
13204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Todd R. Rhine |
2384366 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
404 Old Liverpool Road |
City |
State/Province/Country |
ZIP/Postal Code |
Liverpool |
NEW YORK |
13088 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Timothy D. Nihill |
4220287 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IBN Financial Services, Inc. |
42360 |
Street Address 1 |
Street Address 2 |
404 Old Liverpool Road |
City |
State/Province/Country |
ZIP/Postal Code |
Liverpool |
NEW YORK |
13088 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Keith D. Johnson |
1666714 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Integras Partners, LLC |
172979 |
Street Address 1 |
Street Address 2 |
3180 North Point Parkway |
Suite 102 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brent C. McDonald |
4845727 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
1333 2nd Street NE |
Suite 303 |
City |
State/Province/Country |
ZIP/Postal Code |
Hickory |
NORTH CAROLINA |
28601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Julie Dixon Carroll |
4016528 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
1333 2nd Street NE |
Suite 303 |
City |
State/Province/Country |
ZIP/Postal Code |
Hickory |
NORTH CAROLINA |
28601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Henry Kosen |
274166 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
KCD Financial, Inc. |
127473 |
Street Address 1 |
Street Address 2 |
824 Brown Street |
City |
State/Province/Country |
ZIP/Postal Code |
Jackson |
MINNESOTA |
56143 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Randall A. Heller |
1209975 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
KCD Financial, Inc. |
127473 |
Street Address 1 |
Street Address 2 |
10232 S. Keeler Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
Oak Lawn |
ILLINOIS |
60453 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
ILLINOIS |
INDIANA |
NORTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald E. Machtan |
2696167 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
KCD Financial, Inc. |
127473 |
Street Address 1 |
Street Address 2 |
6125 Blue Circle Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Minnetonka |
MINNESOTA |
55343 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Timotht W. Steffen |
1953542 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
KCD Financial, Inc. |
127473 |
Street Address 1 |
Street Address 2 |
14965 Evergreen Road |
City |
State/Province/Country |
ZIP/Postal Code |
Bowler |
WISCONSIN |
54416 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph A. Quartucci |
4522516 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kalos Capital, Inc. |
44337 |
Street Address 1 |
Street Address 2 |
165 Elmhurst |
Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Kyle |
TEXAS |
78640 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Terence H. Taylor |
5269151 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kalos Capital, Inc. |
44337 |
Street Address 1 |
Street Address 2 |
165 Elmhurst |
Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
Kyle |
TEXAS |
78640 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark C. Schreiber |
2788289 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kalos Capital, Inc. |
44337 |
Street Address 1 |
Street Address 2 |
10825 Watson Road |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Sunset Hills |
MISSOURI |
63127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Hunt |
1375554 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
APW Capital, Inc. |
43814 |
Street Address 1 |
Street Address 2 |
1200 Route 22 East |
Suite 2000 |
City |
State/Province/Country |
ZIP/Postal Code |
Bridgewater |
NEW JERSEY |
08807 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
GEORGIA |
MARYLAND |
NEW JERSEY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Justin Coy Jacobs |
4268827 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Purshe Kaplan Sterling Investments |
35747 |
Street Address 1 |
Street Address 2 |
4101 Parkstone Heights Drive |
Suite 250 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78746 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Samuel S. McGee |
4551147 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Purshe Kaplan Sterling Investments |
35747 |
Street Address 1 |
Street Address 2 |
14825 St. Mary's Lane |
Suite 255 |
City |
State/Province/Country |
ZIP/Postal Code |
Houston |
TEXAS |
77079 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dinesh Goyal |
6053939 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Securities America, Inc. |
10205 |
Street Address 1 |
Street Address 2 |
995 Montague Expressway |
Suite 121 |
City |
State/Province/Country |
ZIP/Postal Code |
Milpitas |
CALIFORNIA |
95035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert J. O'Donnell |
1012235 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Securities America, Inc. |
10205 |
Street Address 1 |
Street Address 2 |
1806 Belles Street |
Suite 4B |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94129 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew J. Nielsen |
2762423 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stonecrest Capital Markets, Inc. |
39616 |
Street Address 1 |
Street Address 2 |
45 N. Broad |
Suite 401 |
City |
State/Province/Country |
ZIP/Postal Code |
Ridgewood |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jerry A. Verseput |
5107727 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Veripax Wealth Management, LLC |
139663 |
Street Address 1 |
Street Address 2 |
101 Parkshore Drive |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Folsom |
CALIFORNIA |
95630 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason Lowther |
2606268 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Western International Securities, Inc. |
39262 |
Street Address 1 |
Street Address 2 |
70 S. 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 |
|
|
CALIFORNIA |
NEVADA |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Terry Tin Sing Tang |
2625824 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 Bovet Road |
Suite 725 |
City |
State/Province/Country |
ZIP/Postal Code |
San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David B. Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital, Inc. |
39914 |
Street Address 1 |
Street Address 2 |
1600 Dove Street |
Suite 250 |
City |
State/Province/Country |
ZIP/Postal Code |
Newport Beach |
CALIFORNIA |
92660 |
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 |
$100,000,000
|
USD |
|
Total Amount Sold |
$66,000,000
|
USD |
Total Remaining to be Sold |
$34,000,000
|
USD |
|
Clarification of Response (if Necessary):
The offering was terminated on December 31, 2018 with $34,000,000 of the securities remaining unsold.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 |
$4,829,730
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Of the Sales Commissions listed above, $629,050 of such amount are designated as marketing fees.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):
Proceeds are paid to the Managing General Partner for deployment in the drilling completion and operation of the Issuer's wells.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 |
MDS 2018-Marcellus Shale Development, LP |
Michael D. Snyder |
Michael D. Snyder |
President, CEO |
2019-06-26 |
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.