A. Full name of the funding portal: | Common Owner CF LLC |
B. Name(s) under which business is conducted, if different from Item 1A:
| commonowner.com |
Website URL(s) under which business is conducted, if different from Item 1A: | |
C. IRS Empl. Ident. No: | 84-5063861 |
D. If a name and/or website URL in (1A) or (1B) has changed since the
funding portal's most recent Form Funding Portal, enter the previous name and/or
website URL and specify whether the name change is of the:
| funding portal name (1A)
business name/website (1B)
|
E. Funding portal's main street address (Do not use a P.O. Box):
| |
Address 1: | 170 FLORIDA STREET |
Address 2: | |
City: | BUFFALO |
State/Country: |
NEW YORK
|
Mailing Zip/ Postal Code: | 14208 |
F. Mailing Address(es) (if different) and office locations (if more than one):
| |
Mailing Address | |
Check here if mailing address is the same as the
main address entered in Item 1.E. | |
Address 1:
| 170 FLORIDA STREET |
Address 2:
| |
City:
| BUFFALO |
State/Country:
|
NEW YORK
|
Zip/Postal Code:
| 14208 |
Other Office Locations | |
Address 1:
| |
Address 2:
| |
City:
| |
State/Country:
| |
Zip/Postal Code:
| |
G. Contact Information: |
Telephone Number: | 716-249-4223 |
Fax Number: | |
E-mail Address: | team@commonowner.com |
H. Contact employee information:
|
Prefix | |
First Name: | Derek |
Middle Name: | R. |
Last Name: | King |
Suffix: | II |
Title: | Director of Operations |
Direct Telephone Number: | |
Fax Number: | |
Direct E-Mail Address: | |
I. Month applicant's fiscal year ends: | December |
J. Registrations |
Was the applicant previously registered on Form Funding
Portal as a funding portal or with the Commission in any other capacity? | Yes
No
|
K. Foreign registrations
|
(1) Is the applicant registrant with a foreign financial
regulatory authority? Answer "no" even if affiliatted with a business that
is registered with a foreign financial regulatory authority . | Yes
No
|
If "yes", complete Section K.2 below. |
(2) List the name, in English, of each foreign financial regulatory authority
and country with which the applicant is registered. A separate entry must be completed for each foreign
financial regulatory authority with which the applicant is registered. | |
A. In the past ten years, has the applicant or any associated person:
| |
(1) been convicted of any felony, or pled guilty or nolo contendere ("no contest")
to any charge of a felony, in a domestic, foreign, or military court?
| Yes
No
|
The response to the following question may be limited to
charges that are currently pending: |
(2) been charged with any felony? | Yes
No
|
B. In the past ten years, has the applicant or any associated person:
|
(1) been convicted of any misdemeanor, or pled guilty or nolo contendere ("no contest"),
in a domestic, foreign, or military court to any charge of a misdemeanor in a case
involving: investment-related business, or any fraud, false statements, or omissions, wrongful
taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
| Yes
No
|
The response to the following question may be limited to charges that are currently pending:
|
(2) been charged with a misdemeanor listed in Item 5-B(1)?
| Yes
No
|
C. Has the SEC or the Commodities Futures Trading Commission ("CFTC") ever:
|
(1) found the applicant or any associated person
to have made a false statement or omission?
| Yes
No
|
(2) found the applicant or any associated person
to have been involved in a violation of any SEC or CFTC regulations or statutes?
| Yes
No
|
(3) found the applicant or any associated person
to have been a cause of the denial, suspension, revocation, or restriction of
the authorization of an investment-related business to operate?
| Yes
No
|
(4) entered an order against the applicant or any associated person
in connection with investment-related activity?
| Yes
No
|
(5) imposed a civil money penalty on the applicant or any associated person,
or ordered the applicant or any associated person to cease and desist
from any activity?
| Yes
No
|
D. Has any other federal regulatory agency, any state regulatory agency,
or any foreign financial regulatory authority:
|
(1) ever found the applicant or any associated person
to have made a false statement or omission, or been dishonest, unfair, or unethical?
| Yes
No
|
(2) ever found the applicant or any associated person
to have been involved in a violation of investment-related regulations or statutes?
| Yes
No
|
(3) ever found the applicant or any associated person
to have been the cause of a denial, suspension, revocation, or restriction of
the authorization of an investment-related business to operate?
| Yes
No
|
(4) in the past ten years entered an order against the applicant or any
associated person in connection with an investment-related activity?
| Yes
No
|
(5) ever denied, suspended, or revoked the registration or license of the applicant or that of any associated person, or otherwise prevented the applicant or any associated person of the applicant, by order, from associating with an investment-related business or restricted the activities of the applicant or any associated person?
| Yes
No
|
E. Has any self-regulatory organization or commodities exchange ever:
|
(1) found the applicant or any associated person
to have made a false statement or omission?
| Yes
No
|
(2) found the applicant or any associated person
to have been involved in a violation of its rules (other than a violation
designated as a minor rule violation under a plan approved by the SEC?
| Yes
No
|
(3) found the applicant or any associated person
to have been the cause of a denial, suspension, revocation or restriction of
the authorization of an investment-related business to operate?
| Yes
No
|
(4) disciplined the applicant or any associated person by expelling or suspending the
applicant or the associated person from membership, barring or suspending the applicant
or the associated person from association with other members, or by otherwise restricting the activities of
the applicant or the associated person?
| Yes
No
|
F. Has the applicant or any associated person ever had an authorization
to act as an attorney, accountant, or federal contractor revoked or suspended?
| Yes
No
|
G. Is the applicant or any associated person currently the subject
of any regulatory proceeding that could result in a "yes" answer to any part of Item 5-C, 5-D, or 5-E?
| Yes
No
|