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 |
0001747750 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
X |
Business Trust |
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Other (Specify) |
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Name of Issuer |
Florida Multifamily Portfolio II 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) |
2018 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Florida Multifamily Portfolio II 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 |
888 671 1031 |
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 |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name |
First Name |
Middle Name |
Florida Multifamily Portfolio II Exchange, LLC |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer
Last Name |
First Name |
Middle Name |
Florida Multifamily Portfolio II, LLC |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer
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 |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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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 |
2018-07-16 |
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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 |
$25,000
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USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
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None |
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Debra Schleining |
2768752 |
(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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Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 East Broad Street |
2nd 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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Jason McMurtry |
2871788 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Edward Fernandez |
2956661 |
(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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Capulent LLC |
155155 |
Street Address 1 |
Street Address 2 |
4144 N 44th Street |
Suite 3 |
City |
State/Province/Country |
ZIP/Postal Code |
Phoenix |
ARIZONA |
85018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Curt Smiley |
4443310 |
(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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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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David Levinson |
705929 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Troy Thomas |
4691720 |
(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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Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 EAST BROAD STREET |
2ND 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 |
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CALIFORNIA |
MASSACHUSETTS |
TEXAS |
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Recipient |
Recipient CRD Number |
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None |
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John Uyeki |
2084506 |
(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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Infinex Investments Inc |
35371 |
Street Address 1 |
Street Address 2 |
538 PRESTON AVENUE |
City |
State/Province/Country |
ZIP/Postal Code |
MERIDEN |
CONNECTICUT |
06450-4858 |
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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Kirk Dobson |
4049865 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Andrew Pesha |
2316590 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Gali Horev |
5138931 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Jennifer Jost |
5020750 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Paul Getty |
6470002 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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John Powell |
1196945 |
(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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Calton & Associates |
20999 |
Street Address 1 |
Street Address 2 |
2701 N ROCKY POINT DRIVE |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
TAMPA |
FLORIDA |
33607 |
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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Coleman Goldsmith |
224447 |
(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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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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Brian Herking |
4592871 |
(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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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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Jeff Vollmer |
4370544 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
|
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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Matt Rubis |
5863109 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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Recipient |
Recipient CRD Number |
|
None |
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Donald Meredith |
1867703 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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Recipient |
Recipient CRD Number |
|
None |
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Kerri Sullivan-Kreiss |
2141713 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Commonwealth Financial Network |
8032 |
Street Address 1 |
Street Address 2 |
29 SAWYER ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
WALTHAM |
MASSACHUSETTS |
02453-3483 |
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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Gene Alvin Brehm |
2815437 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Saxony Securities |
115547 |
Street Address 1 |
Street Address 2 |
7401 WATSON ROAD |
SUITE 86 |
City |
State/Province/Country |
ZIP/Postal Code |
ST. LOUIS |
MISSOURI |
63119 |
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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Daniel Moskowitz |
4119468 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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FSC Securities Corporation |
7461 |
Street Address 1 |
Street Address 2 |
2300 WINDY RIDGE PKWY |
SUITE 1100 |
City |
State/Province/Country |
ZIP/Postal Code |
Atlanta |
GEORGIA |
30339 |
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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Christina Nielson |
4866971 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
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 |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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Kraig Mickelsen |
2845238 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Ausdal Financial Partners, Inc. |
7995 |
Street Address 1 |
Street Address 2 |
5187 UTICA RIDGE RD |
City |
State/Province/Country |
ZIP/Postal Code |
DAVENPORT |
IOWA |
52807 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
|
Trawnegan Gall |
6266415 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
SANDLAPPER FINANCIAL CENTER |
800 E. NORTH STREET, 2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
GREENVILLE |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Stacey Morimoto |
4420782 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
9017 S RIVERSIDE DRIVE |
SUITE 210 |
City |
State/Province/Country |
ZIP/Postal Code |
SANDY |
UTAH |
84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Mark Cosenza |
2499649 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
RCX Capital Group LLC |
114290 |
Street Address 1 |
Street Address 2 |
12707 HIGH BLUFF DRIVE |
SUITE #200 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Eurton |
3203522 |
(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 |
|
Inland Securities Corporation |
15807 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Inland Securities Corporation |
15807 |
Street Address 1 |
Street Address 2 |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew Myers |
2506930 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Private Client Services LLC |
120222 |
Street Address 1 |
Street Address 2 |
2225 LEXINGTON RD |
City |
State/Province/Country |
ZIP/Postal Code |
LOUISVILLE |
KENTUCKY |
40206 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Josephine Buck |
2887883 |
(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 PACIFIC COAST HWY |
STE 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 |
|
Dawn Campbell |
2214340 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
Street Address 1 |
Street Address 2 |
304 INVERNESS WAY SOUTH |
SUITE 355 |
City |
State/Province/Country |
ZIP/Postal Code |
CENTENNIAL |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Timothy Tracy |
1629392 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NPB Financial Group, LLC |
137743 |
Street Address 1 |
Street Address 2 |
3500 W. OLIVE AVENUE |
THIRD FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BURBANK |
CALIFORNIA |
91505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Kramer |
502322 |
(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 |
|
Samuel Julian |
4488869 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ausdal Financial Partners, Inc. |
7995 |
Street Address 1 |
Street Address 2 |
5187 UTICA RIDGE RD |
City |
State/Province/Country |
ZIP/Postal Code |
DAVENPORT |
IOWA |
52807 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Diana Fletcher |
2203146 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Vanderbilt Securities, LLC |
5953 |
Street Address 1 |
Street Address 2 |
125 FROEHLICH FARM BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
WOODBURY |
NEW YORK |
11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kenneth Barroga |
2288752 |
(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 |
|
Sagepoint Financial, Inc. |
133763 |
(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 |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
HAWAII |
ILLINOIS |
NORTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew Hickey |
1538384 |
(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 |
|
Thomas Karsten |
2305465 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
BD4RIA INC |
290240 |
Street Address 1 |
Street Address 2 |
3520 WEST VICKERY BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
FORT WORTH, |
TEXAS |
76107 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Wayne Bernardo |
1005142 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Securities America Inc. |
10205 |
Street Address 1 |
Street Address 2 |
12325 PORT GRACE BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
LAVISTA |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Darrach Bourke |
5255413 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 Bovet Rd, 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 |
|
Jason Salmon |
6081963 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
WealthForge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
RICHMOND |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Wicklace |
1433443 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FSC Securities Corporation |
7461 |
Street Address 1 |
Street Address 2 |
2300 WINDY RIDGE PKWY |
SUITE 1100 |
City |
State/Province/Country |
ZIP/Postal Code |
Atlanta |
GEORGIA |
30339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dean Burchett |
35348 |
(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 |
|
Lynette Atchley |
4083297 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Financial Specialists 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 |
|
Douglas T Charney |
1838995 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Prospera Financial Services, Inc |
10740 |
Street Address 1 |
Street Address 2 |
5429 LBJ FREEWAY |
SUITE 400 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75240 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Frederic Cassivi |
5845151 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Prospera Financial Services, Inc |
10740 |
Street Address 1 |
Street Address 2 |
5429 LBJ FREEWAY |
SUITE 400 |
City |
State/Province/Country |
ZIP/Postal Code |
DALLAS |
TEXAS |
75240 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Mowatt |
1098942 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
12671 HIGH BLUFF DRIVE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Elizabeth Friant |
2122446 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
WealthForge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
RICHMOND |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Shawn Valentine |
4632973 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Calton & Associates |
20999 |
Street Address 1 |
Street Address 2 |
2701 N ROCKY POINT DRIVE |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
TAMPA |
FLORIDA |
33607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William Toft |
1226753 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Feltl & Company |
6905 |
Street Address 1 |
Street Address 2 |
10900 WAYZATA BOULEVARD |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
MINNETONKA |
MINNESOTA |
55305 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Aaron Broz |
4685895 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Securities America Inc. |
10205 |
Street Address 1 |
Street Address 2 |
12325 PORT GRACE BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
LAVISTA |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
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 |
|
Anthony Brown |
6900485 |
(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 |
|
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 |
|
Jeffrey Baker |
2102752 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Vanderbilt Securities, LLC |
5953 |
Street Address 1 |
Street Address 2 |
125 FROEHLICH FARM BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
WOODBURY |
NEW YORK |
11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Duane Swanson |
1456892 |
(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 |
|
Jordon Wold |
6269961 |
(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 |
|
Michael Ludwin |
2426244 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Infinex Investments Inc |
35371 |
Street Address 1 |
Street Address 2 |
538 PRESTON AVENUE |
City |
State/Province/Country |
ZIP/Postal Code |
MERIDEN |
CONNECTICUT |
06450-4858 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 VICTOR PARKWAY |
SUITE 550 |
City |
State/Province/Country |
ZIP/Postal Code |
LIVONIA |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
CALIFORNIA |
GEORGIA |
ILLINOIS |
INDIANA |
NEVADA |
NEW YORK |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Triad Advisors, Inc. |
118583 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
118583 |
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 |
|
|
ILLINOIS |
KENTUCKY |
MINNESOTA |
NEW JERSEY |
SOUTH CAROLINA |
TEXAS |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Cambridge Investment Research |
39543 |
(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 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
COLORADO |
FLORIDA |
IDAHO |
MARYLAND |
NEBRASKA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
(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 |
|
|
FLORIDA |
ILLINOIS |
NEW JERSEY |
NORTH CAROLINA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Lincoln Financial Advisors |
3978 |
(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 |
|
|
CALIFORNIA |
DISTRICT OF COLUMBIA |
MASSACHUSETTS |
NEW JERSEY |
|
Recipient |
Recipient CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
(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 |
|
|
CALIFORNIA |
FLORIDA |
ILLINOIS |
KANSAS |
SOUTH DAKOTA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Summit Brokerage Services, Inc |
34643 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Summit Brokerage Services, Inc |
34643 |
Street Address 1 |
Street Address 2 |
595 S. FEDERAL HIGHWAY |
SUITE 500 |
City |
State/Province/Country |
ZIP/Postal Code |
BOCA RATON |
FLORIDA |
33432 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
COLORADO |
GEORGIA |
IOWA |
NEW YORK |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
(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 |
|
|
CALIFORNIA |
NEW YORK |
NORTH CAROLINA |
OHIO |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Alfred Polizzotto |
2808987 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Commonwealth Financial Network |
8032 |
Street Address 1 |
Street Address 2 |
29 SAWYER ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
WALTHAM |
MASSACHUSETTS |
02453 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
H.D. Vest Investment Securites Inc |
13686 |
(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 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
MARYLAND |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Bhagwati Mahendru |
2360416 |
(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 |
|
Spencer Weston |
1482772 |
(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 |
|
RCX Capital Group LLC |
114290 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
RCX Capital Group LLC |
114290 |
Street Address 1 |
Street Address 2 |
2002 TIMBERLOCH PLACE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
THE WOODLANDS |
TEXAS |
77380 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Justin Lowy |
5935993 |
(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 |
|
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 |
|
Robert Horning |
2311640 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 EAST BROAD STREET |
2ND 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 |
|
Richard Kiesel |
4418699 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Securities America Inc |
10205 |
Street Address 1 |
Street Address 2 |
12325 PORT GRACE BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
LAVISTA |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Monroe Diefendorf |
805205 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Vanderbilt Securities |
5953 |
Street Address 1 |
Street Address 2 |
125 FROEHLICH FARM BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
WOODBURY |
NEW YORK |
11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jacob Tujian |
4605467 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
12671 HIGH BLUFF DRIVE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Vileno |
5848435 |
(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 |
|
Maxwell Phillips |
4953387 |
(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 |
|
Thomas Kieffer |
1531908 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ibn Financial Services, Inc |
42360 |
Street Address 1 |
Street Address 2 |
8035 OSWEGO RD |
City |
State/Province/Country |
ZIP/Postal Code |
LIVERPOOL |
NEW YORK |
13090 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bennett Ely |
721298 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Calton & Associates |
20999 |
Street Address 1 |
Street Address 2 |
2701 N ROCKY POINT DRIVE |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
TAMPA |
FLORIDA |
33607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Tom Velken |
1600404 |
(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 |
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 |
|
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 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Yong Chang |
4440739 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
12671 HIGH BLUFF DRIVE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jung(Josh) Lee |
4410932 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LL |
7717 |
Street Address 1 |
Street Address 2 |
12671 HIGH BLUFF DRIVE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dieter Thurow |
1435375 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NPB Financial Group, LLC |
137743 |
Street Address 1 |
Street Address 2 |
3500 W. OLIVE AVENUE |
THIRD FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
BURBANK |
CALIFORNIA |
91505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Marc Barretta |
2775578 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Vanderbilt Securities, LLC |
5953 |
Street Address 1 |
Street Address 2 |
125 FROEHLICH FARM BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
WOODBURY |
NEW YORK |
11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stevan Gates |
2436434 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Securities America Inc. |
10205 |
Street Address 1 |
Street Address 2 |
12325 PORT GRACE BLVD. |
City |
State/Province/Country |
ZIP/Postal Code |
LAVISTA |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jared Sutton |
5600742 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
Street Address 1 |
Street Address 2 |
699 WALNUT STREET |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
DES MOINES |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott Sheehan |
2328614 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
9017 S RIVERSIDE DRIVE |
SUITE 210 |
City |
State/Province/Country |
ZIP/Postal Code |
SANDY |
UTAH |
84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Anthony Urban |
3181241 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FSC Securities Corporation |
7461 |
Street Address 1 |
Street Address 2 |
2300 WINDY RIDGE PKWY |
SUITE 750 |
City |
State/Province/Country |
ZIP/Postal Code |
ATLANTA |
GEORGIA |
30339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Barry Ozer |
5727882 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FSC Securities Corporation |
7461 |
Street Address 1 |
Street Address 2 |
2300 WINDY RIDGE PKWY |
SUITE 750 |
City |
State/Province/Country |
ZIP/Postal Code |
ATLANTA |
GEORGIA |
30339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Feldman |
1200174 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
APW Capital Inc |
43814 |
Street Address 1 |
Street Address 2 |
100 ENTERPRISE DRIVE, SUITE 504 |
City |
State/Province/Country |
ZIP/Postal Code |
ROCKAWAY |
NEW JERSEY |
07866 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kevin Hughes |
1073729 |
(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 |
|
Jorge Alfonso |
4728979 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Infinex Investments Inc |
35371 |
Street Address 1 |
Street Address 2 |
538 PRESTON AVENUE |
City |
State/Province/Country |
ZIP/Postal Code |
MERIDEN |
CONNECTICUT |
06450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Dahill |
6581024 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
WealthForge Securities LLC |
152550 |
Street Address 1 |
Street Address 2 |
6800 PARAGON PLACE |
SUITE 200 |
City |
State/Province/Country |
ZIP/Postal Code |
RICHMOND |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Adam Bryan |
5443986 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 EAST BROAD STREET |
2ND 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 |
|
Jesus Quezada |
5117930 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securities LP |
6312 |
Street Address 1 |
Street Address 2 |
725 Town and 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 |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$98,479,389
|
USD |
|
Total Amount Sold |
$97,975,419
|
USD |
Total Remaining to be Sold |
$503,970
|
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 |
$8,764,665
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fee that may be paid to one or more Related Persons.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs and offering and organizational expenses that may accrue to one or more Related 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).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer |
Signature |
Name of Signer |
Title |
Date |
Florida Multifamily Portfolio II DST |
/s/ Keith D. Lampi |
Keith D. Lampi |
President of Member of Signatory Trustee of the Issuer |
2019-06-07 |
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.