The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Intentional misstatements or omissions of fact constitute federal criminal violations. See 18 U.S.C. 1001.
FORM D
Notice of Exempt Offering of Securities
|
| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
| 0001781031 |
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| X |
Other (Specify) |
Statutory Trust |
| Name of Issuer |
|---|
| Passco Tribute DST |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2019 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Passco Tribute DST |
| Street Address 1 |
Street Address 2 |
| 2050 MAIN STREET, SUITE 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| IRVINE |
CALIFORNIA |
92614 |
(949) 442-1000 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Sullivan |
Larry |
K. |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CALIFORNIA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
President of the Sole Member of the Issuer's Manager
| Last Name |
First Name |
Middle Name |
| Passo |
William |
O. |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CALIFORNIA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Brown |
Belden |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CALIFORNIA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Jahncke |
Thomas |
B. |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CALIFORNIA |
92614 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Passco Companies, LLC |
Passco Companies, LLC |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CALIFORNIA |
92614 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Passco Tribute Depositor, LLC |
Passco Tribute Depositor, LLC |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CALIFORNIA |
92614 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Passco Tribute Manager, LLC |
Passco Tribute Manager, LLC |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Irvine |
CALIFORNIA |
92614 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| |
Pooled Investment Fund |
|
|
|
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
|
|
|
|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
|
|
|
|
|
Retailing |
|
Restaurants |
|
Technology |
|
|
|
|
|
|
|
Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
|
|
|
Other |
|
5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| |
No Revenues |
|
No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
|
$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
|
$5,000,001 - $25,000,000 |
| |
$5,000,001 - $25,000,000 |
|
$25,000,001 - $50,000,000 |
| |
$25,000,001 - $100,000,000 |
|
$50,000,001 - $100,000,000 |
| |
Over $100,000,000 |
|
Over $100,000,000 |
| X |
Decline to Disclose |
|
Decline to Disclose |
| |
Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
|
| |
Rule 504 (b)(1)(i) |
|
| |
Rule 504 (b)(1)(ii) |
|
| |
Rule 504 (b)(1)(iii) |
|
| X |
Rule 506(b) |
|
| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| |
Investment Company Act Section 3(c) |
|
| |
Section 3(c)(1) |
|
Section 3(c)(9) |
|
| |
Section 3(c)(2) |
|
Section 3(c)(10) |
|
| |
Section 3(c)(3) |
|
Section 3(c)(11) |
|
| |
Section 3(c)(4) |
|
Section 3(c)(12) |
|
| |
Section 3(c)(5) |
|
Section 3(c)(13) |
|
| |
Section 3(c)(6) |
|
Section 3(c)(14) |
|
|
|
7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2019-06-28 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
|
Pooled Investment Fund Interests |
| |
Debt |
|
Tenant-in-Common Securities |
| |
Option, Warrant or Other Right to Acquire Another Security |
|
Mineral Property Securities |
| |
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
|
Other (describe) |
|
|
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Passco Capital, Inc. |
117323 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2050 Main Street, Suite 650 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DFPG Investments, LLC |
155576 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Trawnegan Gall |
6266415 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cabot Lodge Securities LLC |
159712 |
| Street Address 1 |
Street Address 2 |
| 1 City Boulevard West, Suite 870 |
| 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 |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| INDIANA |
| IOWA |
| KANSAS |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Paul Harvey |
4227692 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cabot Lodge Securities LLC |
159712 |
| Street Address 1 |
Street Address 2 |
| 7051 Heathcote Village Way, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Gainesville |
VIRGINIA |
20169 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott Glenn Eichler |
5431034 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 4695 MacArthur Court, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Stacey Jim Morimoto |
4420782 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Stax Capital |
300607 |
| Street Address 1 |
Street Address 2 |
| 4901 Morena Boulevard, Suite 121 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| NEVADA |
| NEW YORK |
| OREGON |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael Lawrence Cruz |
2130750 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Courtlandt Securities Corporation |
137356 |
| Street Address 1 |
Street Address 2 |
| 18218 McDurmott, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| MASSACHUSETTS |
| NEVADA |
| NORTH CAROLINA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Stephen Weiss |
1097536 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities, L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 32244 Paseo Adelanto, Suite D-2 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Juan Capistrano |
CALIFORNIA |
92675 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| MISSOURI |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| OHIO |
| OREGON |
| TEXAS |
| VERMONT |
| WASHINGTON |
| WEST VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Bryan Stuart Kocen |
2119036 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Financial Goal Securities, Inc. |
19066 |
| Street Address 1 |
Street Address 2 |
| 35-900 Bob Hope Drive, Suite 202 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rancho Mirage |
CALIFORNIA |
92270 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MARYLAND |
| MASSACHUSETTS |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Adam Jack Bryan |
5443986 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 10111 Petit Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| North Hills |
CALIFORNIA |
91343 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| INDIANA |
| MASSACHUSETTS |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| OREGON |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Michael Poindexter |
1867899 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 1965 Commerce Center Circle, Suite D |
| City |
State/Province/Country |
ZIP/Postal Code |
| Prescott |
ARIZONA |
86301 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| NORTH DAKOTA |
| SOUTH CAROLINA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Troy Thomas |
4691720 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 101 Main Street, Suite 260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Huntington Beach |
CALIFORNIA |
92648 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Debra Jo Schleining |
2768752 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 13530 Parker Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Omaha |
NEBRASKA |
68154 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter Alexander Finnegan |
1336798 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Huntwicke Securities, LLC |
146993 |
| Street Address 1 |
Street Address 2 |
| 65 Washington Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hanover |
MASSACHUSETTS |
02339 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kelly H. 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 |
| 4041 Macarthur Boulevard, Suite 240 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| IDAHO |
| NEVADA |
| NEW YORK |
| TENNESSEE |
| TEXAS |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Leslie Margaret Pappas |
1735372 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lightpath Capital, Inc. |
34617 |
| Street Address 1 |
Street Address 2 |
| 3130 Baker Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94123 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| NORTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Eluwene McKeon |
5286647 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 1507 172nd Street NE, Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marysville |
WASHINGTON |
98271 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| HAWAII |
| KANSAS |
| KENTUCKY |
| MINNESOTA |
| MONTANA |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| TEXAS |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Kacheong Lee |
2948622 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 601 Montgomery Street, Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94111 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jack William Ellison |
2584997 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 490 S. Farrell Drive, Suite C201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palm Springs |
CALIFORNIA |
92262 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| INDIANA |
| KANSAS |
| LOUISIANA |
| NEVADA |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| TEXAS |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Bryan Paul Hopkins |
4489174 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 8141 E. Kaiser Boulevard, Suite 106 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Anaheim Hills |
CALIFORNIA |
92808 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| IDAHO |
| MASSACHUSETTS |
| NEVADA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Alan Horning |
2311640 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 6633 S. Halm Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90056 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| HAWAII |
| ILLINOIS |
| IOWA |
| LOUISIANA |
| NEVADA |
| SOUTH DAKOTA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Arthur 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 |
| 600 Third Avenue, 3rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10016 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| INDIANA |
| LOUISIANA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| VERMONT |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sonya Lee Gotz |
4007918 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Nextrend Securities, Inc. |
43710 |
| Street Address 1 |
Street Address 2 |
| 321 West 44th Street, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10036 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| TENNESSEE |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christina Suzanne Nielson |
4866971 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 650 Town Center Drive, Suite 1400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Costa Mesa |
CALIFORNIA |
92626 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| NEVADA |
| NEW YORK |
| OHIO |
| OREGON |
| TEXAS |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas Burgess Hamlin |
2208505 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Somerset Securities, Inc. |
2493 |
| Street Address 1 |
Street Address 2 |
| 4600 S.W. Kelly Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97239 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas Book Jahncke |
1078444 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Titan Securities |
131392 |
| Street Address 1 |
Street Address 2 |
| 16775 Addison Road, Suite 202 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Addison |
TEXAS |
75001 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Timothy Keith Kulhanek |
5696299 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Taylor Capital Management Inc. |
43559 |
| Street Address 1 |
Street Address 2 |
| 3801 Union Drive, Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lincoln |
NEBRASKA |
68516 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| FLORIDA |
| KANSAS |
| NEBRASKA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Betty L. Friant |
2122446 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 1101 Pennsylvania Avenue N.W., Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Washington |
DISTRICT OF COLUMBIA |
20004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Paul Getty |
34617 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lightpath Capital, Inc. |
34617 |
| Street Address 1 |
Street Address 2 |
| 97 East Brokaw Road, Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Jose |
CALIFORNIA |
95112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| MONTANA |
| NEVADA |
| NEW YORK |
| OHIO |
| OREGON |
| TEXAS |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Randy Alan Barmache |
4607939 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Westpark Capital, Inc. |
39914 |
| Street Address 1 |
Street Address 2 |
| 1600 Dove Street, Suite 250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Anthony Brown |
6900485 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Stax Capital |
300607 |
| Street Address 1 |
Street Address 2 |
| 4901 Morena Boulevard, Suite 121 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NEW YORK |
| OREGON |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Terry Shea |
1654953 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Whitehall-Parker Securities, Inc |
10608 |
| Street Address 1 |
Street Address 2 |
| 117 Paul Drive, Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Rafael |
CALIFORNIA |
94903 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| NEW MEXICO |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ronald David Birnbaum |
2382580 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Advisory Group Equity Services Ltd. |
15427 |
| Street Address 1 |
Street Address 2 |
| One Gateway Center, Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newton |
MASSACHUSETTS |
02458 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| KENTUCKY |
| MAINE |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| VERMONT |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Derek James Elrod |
4793202 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| APW Capital, Inc. |
43814 |
| Street Address 1 |
Street Address 2 |
| 986 W. Alluvial Avenue, Suite 101 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fresno |
CALIFORNIA |
93711 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| IDAHO |
| OREGON |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chay Thomas Lapin |
6275140 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 21515 Hawthorne Boulevard, Suite 360 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Torrance |
CALIFORNIA |
90503 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David P. Dahill |
6581024 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 111 Congress Avenue, Suite 1000 |
| 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 |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jason Andrew Salmon |
6081963 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 104 West 40th Street, 5th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10018 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Justin Charles 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 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| HAWAII |
| NEW JERSEY |
| SOUTH CAROLINA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Susan Jane 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 Boulevard, 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 |
|
|
| ALABAMA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| MONTANA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VERMONT |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Thaddeus Walesa |
1061209 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 1460 Renaissance Drive, Suite 212 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Park Ridge |
ILLINOIS |
60068 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| KANSAS |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OKLAHOMA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| George Roger Duff |
2768560 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 11651 Jollyville Road, Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78759 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| IDAHO |
| MASSACHUSETTS |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| TENNESSEE |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Dale Warring |
3198200 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 1101 Wootton Parkway, Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rockville |
MARYLAND |
20852 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Patrick Robert Conway |
1337831 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oakbrook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter Daniel Fisher |
1259923 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oakbrook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| ILLINOIS |
| INDIANA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John George Chess |
4812430 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 4263 Gavin Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Columbus |
OHIO |
43220 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| FLORIDA |
| ILLINOIS |
| MARYLAND |
| MICHIGAN |
| NEVADA |
| OHIO |
| PENNSYLVANIA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joshua Daniel Slaybaugh |
4450485 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 200 West Jackson Boulevard, 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 |
|
|
| CALIFORNIA |
| FLORIDA |
| ILLINOIS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kimberly Jo Hart |
6470382 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Primex |
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 |
|
|
| ARIZONA |
| CALIFORNIA |
| MARYLAND |
| MICHIGAN |
| NEW YORK |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Cunningham Lindsey |
2809808 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America, Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 4195 E. Thousand Oaks Boulevard, Ste 125 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| MARYLAND |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OKLAHOMA |
| OREGON |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christina Lindsey Orta |
3278327 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America, Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 4195 E. Thousand Oaks Boulevard, Ste 125 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| MARYLAND |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OKLAHOMA |
| OREGON |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark Richard Swartz |
2311460 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America, Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 2400 Camino Ramon, Suite 380 |
| 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| HAWAII |
| NEVADA |
| NEW YORK |
| OKLAHOMA |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Aaron Steven Broz |
4685895 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America, Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 220 Norris Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| McCook |
NEBRASKA |
69001 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| IOWA |
| KANSAS |
| MASSACHUSETTS |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEW MEXICO |
| NEW YORK |
| OKLAHOMA |
| TEXAS |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Monroe M. Diefendorf Jr |
805205 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Vanderbilt Securities, LLC |
5953 |
| Street Address 1 |
Street Address 2 |
| 152 Forest Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Locust Valley |
NEW YORK |
11560 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott Michael Mahan |
2799792 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KMS Financial Services, Inc. |
3866 |
| Street Address 1 |
Street Address 2 |
| 803 Main Street, Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Klamath Falls |
OREGON |
97601 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| CALIFORNIA |
| FLORIDA |
| IDAHO |
| MONTANA |
| NEVADA |
| OREGON |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edward Pius 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 |
| 45 N Broad, Suite 401 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ridgewood |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| NEW JERSEY |
| NEW YORK |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Deborah Ann 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 |
| 45 N Broad, Suite 401 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ridgewood |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| NEW JERSEY |
| NEW YORK |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Matthew J. Nielsen |
2762423 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Stonecrest Capital Markets, Inc. |
39616 |
| Street Address 1 |
Street Address 2 |
| 45 N Broad, Suite 401 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ridgewood |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| KENTUCKY |
| NEW JERSEY |
| NEW YORK |
| PUERTO RICO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Olsen |
4823650 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Madison Avenue Securities, LLC |
23224 |
| Street Address 1 |
Street Address 2 |
| 2810 E. Oakland Park Blvd., Suite 101 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Lauderdale |
FLORIDA |
33306 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| NEW YORK |
| TENNESSEE |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$47,650,000
|
USD |
|
| Total Amount Sold |
$47,650,000
|
USD |
| Total Remaining to be Sold |
$0
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
| Sales Commissions |
$4,169,375
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Passco Tribute Depositor, LLC was responsible for paying certain fees and costs of approximately $5,564,803.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 |
| Passco Tribute DST |
/s/ Larry K. Sullivan |
Larry K. Sullivan |
President of the Sole Member of the Issuer's Manager |
2020-03-30 |
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.