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 |
0001757500 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
X |
Business Trust |
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Other (Specify) |
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Name of Issuer |
National Multifamily Portfolio IV 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 |
National Multifamily Portfolio IV 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 |
8886711031 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Inland Private Capital Corporation |
N/A |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name |
First Name |
Middle Name |
National Multifamily Portfolio IV Exchange, L.L.C. |
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):
Signatory Trustee of the Issuer
Last Name |
First Name |
Middle Name |
National Multifamily Portfolio IV, L.L.C. |
n/a |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer
Last Name |
First Name |
Middle Name |
Sabshon |
Mitchell |
L |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director and Chairman of the Board of the Sponsor
Last Name |
First Name |
Middle Name |
Lampi |
Keith |
D. |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director, President and Chief Operating Officer of the Sponsor
Last Name |
First Name |
Middle Name |
Sehgal |
Rahul |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director and Chief Investment Officer of the Sponsor
Last Name |
First Name |
Middle Name |
Goodwin |
Daniel |
L |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
Last Name |
First Name |
Middle Name |
Lynch |
Catherine |
L |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
Last Name |
First Name |
Middle Name |
Matlin |
Roberta |
S |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
Last Name |
First Name |
Middle Name |
Parks |
Robert |
D |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of the Sponsor
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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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)
| |
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 |
2018-10-15 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X |
Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$25,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
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Daniel Raupp |
4079107 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 Victor Parkway |
Suite 550 |
City |
State/Province/Country |
ZIP/Postal Code |
Livonia |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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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 |
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None |
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John Harvey |
4227692 |
(Associated) Broker or Dealer |
|
None |
|
(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 |
|
None |
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Injil Muhammad |
2843907 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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H D Vest Investment Securites Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWAY 161 |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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David Dahill |
6581024 |
(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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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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Hugo Grimaldi |
4626118 |
(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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Money Concepts Capital Corp. |
12963 |
Street Address 1 |
Street Address 2 |
11440 NORTH JOG ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
PALM BEACH GARDENS |
FLORIDA |
33418 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Scott Sheehan |
2328614 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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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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|
CONNECTICUT |
DISTRICT OF COLUMBIA |
ILLINOIS |
MASSACHUSETTS |
NEW YORK |
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Recipient |
Recipient CRD Number |
|
None |
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Edward Fernandez |
2956661 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Capulent LLC |
115115 |
Street Address 1 |
Street Address 2 |
4144 N. 44th Street |
Ste. 3 |
City |
State/Province/Country |
ZIP/Postal Code |
Phoenix |
ARIZONA |
85018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
CONNECTICUT |
MISSOURI |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
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Gene Williams |
851665 |
(Associated) Broker or Dealer |
|
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 |
Ste. 3 |
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 |
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Recipient |
Recipient CRD Number |
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None |
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Gena Mickschl |
4464215 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
|
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 |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Justin Bachman |
6412695 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Capulent LLC |
155155 |
Street Address 1 |
Street Address 2 |
4144 N 44TH STREET |
STE 3 |
City |
State/Province/Country |
ZIP/Postal Code |
PHOENIX |
ARIZONA |
85018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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David Launder |
2239910 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3RD STREET NORTH |
City |
State/Province/Country |
ZIP/Postal Code |
OAKDALE |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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Michael Markey |
320042 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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American Investors Co Lsy Dba |
38 |
Street Address 1 |
Street Address 2 |
2440 CAMINO RAMON |
SUITE 103 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN RAMON |
CALIFORNIA |
94583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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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 |
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Recipient |
Recipient CRD Number |
|
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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Stephen Norton |
2132723 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Money Concepts Capital Corp. |
12963 |
Street Address 1 |
Street Address 2 |
11440 NORTH JOG ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
PALM BEACH GARDENS |
FLORIDA |
33418 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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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. |
SUITE 504 |
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 |
|
|
ARIZONA |
KENTUCKY |
TEXAS |
UTAH |
VIRGINIA |
|
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 |
|
|
ALABAMA |
CALIFORNIA |
FLORIDA |
HAWAII |
TEXAS |
|
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 |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Daryl Carter |
3275842 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Financial Specialists LLC |
10358 |
Street Address 1 |
Street Address 2 |
200 NORTH MARTINGALE ROAD |
SEVENTH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
SCHAUMBURG |
ILLINOIS |
60173 |
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 Ebner |
2917646 |
(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 |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Joseph Hagler |
2630055 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Puls |
2671882 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Woodbury Financial Services, Inc. |
421 |
Street Address 1 |
Street Address 2 |
7755 3RD STREET NORTH |
City |
State/Province/Country |
ZIP/Postal Code |
OAKDALE |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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Lance Dumas |
4026916 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Financial Specialists LLC |
10358 |
Street Address 1 |
Street Address 2 |
200 NORTH MARTINGALE ROAD |
SEVENTH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
SCHAUMBURG |
ILLINOIS |
60173 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
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 |
|
|
ARKANSAS |
CALIFORNIA |
COLORADO |
IDAHO |
|
Recipient |
Recipient CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
2300 E. KATELLA AVENUE |
SUITE #200 |
City |
State/Province/Country |
ZIP/Postal Code |
ANAHEIM |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
OREGON |
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 |
MONTANA |
OHIO |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Mike Bendix |
5379777 |
(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 |
|
|
CALIFORNIA |
DISTRICT OF COLUMBIA |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew 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 |
300 W. 6TH ST. |
SUITE 1520 |
City |
State/Province/Country |
ZIP/Postal Code |
AUSTIN |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Deborah Stackpole |
4969850 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stonecrest Capital Markets, Inc |
39616 |
Street Address 1 |
Street Address 2 |
300 W. 6TH ST. |
SUITE 1520 |
City |
State/Province/Country |
ZIP/Postal Code |
AUSTIN |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Edward Kasperavich |
4970038 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stonecrest Capital Markets, Inc |
39616 |
Street Address 1 |
Street Address 2 |
300 W. 6TH ST. |
SUITE 1520 |
City |
State/Province/Country |
ZIP/Postal Code |
AUSTIN |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
S Paul Lorusso |
5838694 |
(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 |
|
Triad Advisors, Inc. |
25803 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
5155 PEACHTREE PARKWAY |
SUITE 3220 |
City |
State/Province/Country |
ZIP/Postal Code |
NORCROSS |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
FLORIDA |
ILLINOIS |
MARYLAND |
OHIO |
OREGON |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Patrick Conway |
1337831 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
4400 BISCAYNE BLVD |
11TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
MIAMI |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
N. William Vertrees |
454413 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Derrigan Sheedy |
4842385 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
William Upson |
1241673 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Troy Thomas |
4691720 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mc Dermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
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 |
|
David Kangas |
6591398 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
SANDLAPPER FINANCIAL CENTER |
800 E. NORTH STREET, 2ND FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
GREENVILLE |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
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 |
|
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 |
MASSACHUSETTS |
MINNESOTA |
UTAH |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Eric Scaff |
5281210 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 VICTOR PARKWAY |
SUITE 550 |
City |
State/Province/Country |
ZIP/Postal Code |
LIVONIA |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
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 |
|
Kirk Dobson |
4049865 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp. |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Christopher Riel |
6222615 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Ameritas Investment Corp. |
14869 |
Street Address 1 |
Street Address 2 |
5900 "O" STREET |
City |
State/Province/Country |
ZIP/Postal Code |
LINCOLN |
NEBRASKA |
68510-2234 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Fagan |
1572927 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Madison Avenue Securities, LLC |
23224 |
Street Address 1 |
Street Address 2 |
15050 AVENUE OF SCIENCE |
SUITE 150 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
George Pitra |
2796552 |
(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 |
|
John Cahill |
3268820 |
(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 |
|
Carmen Morrone |
1898874 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Muriel Siebert & Co., Inc |
5376 |
Street Address 1 |
Street Address 2 |
120 WALL STREET |
25TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
NEW YORK |
NEW YORK |
10005 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Barry Le May |
306332 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 VICTOR PARKWAY |
SUITE 550 |
City |
State/Province/Country |
ZIP/Postal Code |
LIVONIA |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
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 |
|
Jonathan Khalavsky |
5285296 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Tfs Securities, Inc. |
20626 |
Street Address 1 |
Street Address 2 |
437 NEWMAN SPRINGS ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
LINCROFT |
NEW JERSEY |
07738 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Peter Karp |
2335003 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Infinity Financial Services |
144302 |
Street Address 1 |
Street Address 2 |
212 9TH STREET |
SUITE 202 |
City |
State/Province/Country |
ZIP/Postal Code |
OAKLAND |
CALIFORNIA |
94607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital Inc |
39914 |
Street Address 1 |
Street Address 2 |
1900 AVENUE OF THE STARS |
SUITE 310 |
City |
State/Province/Country |
ZIP/Postal Code |
LOS ANGELES |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Pompei |
1439110 |
(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 |
|
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 |
|
Richard Holtan |
2410936 |
(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 |
|
Brett Ohlen |
6406246 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H D Vest Investment Securities Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWAY 161 |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Fagan |
1572927 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Madison Avenue Securities, LLC |
23224 |
Street Address 1 |
Street Address 2 |
15050 AVENUE OF SCIENCE |
SUITE 150 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Scheiman |
1508288 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Thomas Scheiman |
1508288 |
Street Address 1 |
Street Address 2 |
5579 PEARL ROAD, SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Parma |
OHIO |
44129 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Shelley Cole |
2554859 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
Street Address 1 |
Street Address 2 |
699 WALNUT STREET |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
DES MOINES |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Roger Smith |
1964274 |
(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 |
|
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 |
|
Benjamin Hill |
2983275 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Galt Financial Group, Inc. |
146976 |
Street Address 1 |
Street Address 2 |
2815 TOWNSGATE RD. |
SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
West Lake Village |
CALIFORNIA |
91361 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lois Leynse |
2949395 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H D Vest Investment Securities Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWAY 161 |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Ochsner |
1502183 |
(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 |
|
Joseph Broadbent |
3132498 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
9017 S RIVERSIDE DRIVE |
SUITE 210 |
City |
State/Province/Country |
ZIP/Postal Code |
SANDY |
UTAH |
84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Nathaniel Edie |
4278231 |
(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 |
|
Peter Fisher |
1259923 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investacorp, Inc. |
7684 |
Street Address 1 |
Street Address 2 |
4400 BISCAYNE BLVD |
11TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
MIAMI |
FLORIDA |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Grant Conness |
4778193 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Madison Avenue Securities, LLC |
23224 |
Street Address 1 |
Street Address 2 |
15050 AVENUE OF SCIENCE |
SUITE 150 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN DIEGO |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bhavin Mehta |
2233753 |
(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 |
|
Edwin Suzuki |
4851317 |
(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 |
|
Kirk Miller |
5004970 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Western International Secs Inc |
39262 |
Street Address 1 |
Street Address 2 |
70 SOUTH LAKE AVENUE |
SUITE 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Pasadena |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeff Morris |
2478499 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Moloney Securities Co |
38535 |
Street Address 1 |
Street Address 2 |
13537 BARRETT PARKWAY DRIVE |
#300 |
City |
State/Province/Country |
ZIP/Postal Code |
Manchester |
MISSOURI |
63021 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Tim Clairmont |
2847591 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lion Street Financial, LLC |
165828 |
Street Address 1 |
Street Address 2 |
515 CONGRESS AVE |
SUITE 2500 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey Bangerter |
1687028 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Berthel Fisher & Co Financial Svcs |
13609 |
Street Address 1 |
Street Address 2 |
4201 42ND STREET NE |
SUITE 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Cedar Rapids |
IOWA |
52402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Long |
5270961 |
(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 |
|
William Tufts |
2053884 |
(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 Bell |
104343 |
(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 |
|
Joseph Nugent |
4019776 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 VICTOR PARKWAY |
SUITE 550 |
City |
State/Province/Country |
ZIP/Postal Code |
LIVONIA |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Gary Benson |
1182211 |
(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 |
|
Thomas Povinelli |
1326492 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kelly Clyde |
4825839 |
(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 |
|
Anders Haugen |
5227103 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisor Networks, LLC |
13572 |
Street Address 1 |
Street Address 2 |
200 N 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 |
|
Alex Kowalski |
4495275 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
19500 VICTOR PARKWAY |
SUITE 550 |
City |
State/Province/Country |
ZIP/Postal Code |
LIVONIA |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Park |
4557055 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
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 JERSEY |
11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott Brown |
4322420 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Gene Alvin Brehm |
2815437 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel Bisese |
5193830 |
(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 |
|
Joseph Hubbard |
2128362 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Financial Equity Corp |
16507 |
Street Address 1 |
Street Address 2 |
7373 N. SCOTTSDALE ROAD |
STE D120 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85253 |
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 |
|
John Bishop |
866202 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chalice Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
10920 VIA FRONTERA |
SUITE 520 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Timothy Hobbs |
2531874 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Callaway Financial Services Inc |
104003 |
Street Address 1 |
Street Address 2 |
3700 BUFFALO SPEEDWAY |
SUITE 950 |
City |
State/Province/Country |
ZIP/Postal Code |
HOUSTON |
TEXAS |
77098 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Zimmerman |
2401501 |
(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 |
|
Susan Gitt |
5580509 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Great Point Capital LLC |
114203 |
Street Address 1 |
Street Address 2 |
200 WEST JACKSON BLVD. |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dennis O'Connor |
1595467 |
(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 |
|
Robert Schultz |
4163450 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
Street Address 1 |
Street Address 2 |
10 EXCHANGE PLACE |
SUITE 1410 |
City |
State/Province/Country |
ZIP/Postal Code |
JERSEY CITY |
NEW JERSEY |
07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Mansfield |
1448145 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
H D Vest Investment Securities Inc |
13686 |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWAY 161 |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038-2200 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$138,158,359
|
USD |
|
Total Amount Sold |
$119,793,263
|
USD |
Total Remaining to be Sold |
$18,365,096
|
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. |
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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: |
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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 |
$12,296,094
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USD |
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Finders' Fees |
$0
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USD |
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Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fee that may be paid to one or more Related Persons.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs and offering and organizational expenses that may accrue to one or more Related Persons.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer |
Signature |
Name of Signer |
Title |
Date |
National Multifamily Portfolio IV DST |
/s/ Keith D. Lampi |
Keith D. Lampi |
CIO of Member of Signatory Trustee of the Issuer |
2019-02-20 |
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.