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
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 |
| 0001723529 |
|
| |
Corporation |
| |
Limited Partnership |
| X |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| Carter Multifamily Growth & Income Fund, LLC |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2017 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Carter Multifamily Growth & Income Fund, LLC |
| Street Address 1 |
Street Address 2 |
| 4890 W. KENNEDY BOULEVARD, SUITE 825 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| TAMPA |
FLORIDA |
33609 |
8133871691 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Carter |
John |
E |
| Street Address 1 |
Street Address 2 |
| 4890 Kennedy Boulevard, Suite 825 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Tampa |
FLORIDA |
33609 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chairman of the Board of Directors
| Last Name |
First Name |
Middle Name |
| Caballero |
Joseph |
| Street Address 1 |
Street Address 2 |
| 4890 Kennedy Boulevard, Suite 825 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Tampa |
FLORIDA |
33609 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Independent Director
| Last Name |
First Name |
Middle Name |
| Greene |
Randall |
| Street Address 1 |
Street Address 2 |
| 4890 Kennedy Boulevard, Suite 825 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Tampa |
FLORIDA |
33609 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Independent Director
| Last Name |
First Name |
Middle Name |
| Pfeifer |
Cynthia |
M |
| Street Address 1 |
Street Address 2 |
| 4890 Kennedy Boulevard, Suite 825 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Tampa |
FLORIDA |
33609 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chief Executive Officer
| Last Name |
First Name |
Middle Name |
| Drummond |
Lisa |
A |
| Street Address 1 |
Street Address 2 |
| 4890 Kennedy Boulevard, Suite 825 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Tampa |
FLORIDA |
33609 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chief Operating Officer and Secretary
| Last Name |
First Name |
Middle Name |
| Guard |
Thomas |
W |
| Street Address 1 |
Street Address 2 |
| 4890 Kennedy Boulevard, Suite 825 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Tampa |
FLORIDA |
33609 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chief Financial Officer
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 |
2018-04-05 |
|
|
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 |
$50,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sandlapper Securities, LLC |
137906 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| Sandlapper Financial Center |
800 E North St., 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cabot Lodge Securities LLC |
159712 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 200 Vesey Street |
24th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10281 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Calton & Associates, Inc. |
20999 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2701 N Rocky Point Drive |
Suite 1000 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FLORIDA |
33607 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Purshe Kaplan Sterling Investments |
35747 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 18 Corporate Woods Blvd. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Albany |
NEW YORK |
12211 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Coastal Equities, Inc. |
23769 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1201 N. Orange Street |
Suite 729 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wilmington |
DELAWARE |
19801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Newbridge Securities Corporation |
104065 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5200 Town Center Circle |
Tower 1, Suite 306 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boca Raton |
FLORIDA |
33486 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cabin Securities, Inc. |
137608 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 6240 W 135th Street |
Suite 214 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Overland Park |
KANSAS |
66223 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| NEW YORK |
| GEORGIA |
| NEVADA |
| CALIFORNIA |
| OKLAHOMA |
| MICHIGAN |
| OHIO |
| WYOMING |
| IOWA |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ILLINOIS |
| CONNECTICUT |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| COLORADO |
| NORTH CAROLINA |
| PENNSYLVANIA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Aegis Capital Corp. |
15007 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 810 7th Avenue |
18th & 22nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10019 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Whitehall-Parker Securities, Inc. |
10608 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 477 Pacific Avenue |
2nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94133 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| WASHINGTON |
| UTAH |
| NEW YORK |
| NEVADA |
| IDAHO |
| TEXAS |
| COLORADO |
| ARIZONA |
| CALIFORNIA |
| OREGON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Center Street Securities, Inc. |
26898 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2740 Old Elm Hill Pike |
Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Nashville |
TENNESSEE |
37214 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Corinthian Partners, L.L.C. |
38912 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 850 Third Avenue |
16th Floor, Suite 16C |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| NEW YORK |
| GEORGIA |
| NEVADA |
| CALIFORNIA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| DELAWARE |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| MISSOURI |
| OREGON |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| ALABAMA |
| COLORADO |
| NORTH CAROLINA |
| PENNSYLVANIA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Emerson Equity LLC |
130032 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 155 Bovet Road |
Suite 725 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chauner Securities, Inc. |
10075 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 666 Dundee Road |
Suite 903 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Northbrook |
ILLINOIS |
60062 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| ILLINOIS |
| NEW YORK |
| CONNECTICUT |
| NEVADA |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| CALIFORNIA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| OHIO |
| WYOMING |
| COLORADO |
| FLORIDA |
| PENNSYLVANIA |
| NORTH CAROLINA |
| MARYLAND |
| MASSACHUSETTS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sunbelt Securities, Inc. |
42180 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2700 Post Oak Blvd |
Suite 1700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77056 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| DELAWARE |
| WYOMING |
| FLORIDA |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| International Assets Advisory, LLC |
10645 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 390 North Orange Avenue |
Suite 750 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orlando |
FLORIDA |
32801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chalice Capital Partners |
288898 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 16935 WEST BERNARDO DRIVE |
Suite 140 |
| 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 |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| DELAWARE |
| WYOMING |
| FLORIDA |
| IOWA |
| MARYLAND |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Skyway Capital Markets, LLC |
124630 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 100 North Tampa Street |
Suite 3550 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FLORIDA |
33602 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| VERMONT |
| RHODE ISLAND |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| DELAWARE |
| WYOMING |
| FLORIDA |
| IOWA |
| MARYLAND |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| KANSAS |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| NEW HAMPSHIRE |
| WASHINGTON |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KCD Financial, Inc. |
127473 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 3061 Allied Street |
Suite B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Green Bay |
WISCONSIN |
54304 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| WYOMING |
| IOWA |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| ARKANSAS |
| UTAH |
| ILLINOIS |
| INDIANA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| KENTUCKY |
| MISSOURI |
| KANSAS |
| OREGON |
| MONTANA |
| MISSISSIPPI |
| LOUISIANA |
| NEW HAMPSHIRE |
| WASHINGTON |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| TEXAS |
| ALABAMA |
| COLORADO |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| INDEPENDENT FINANCIAL GROUP, LLC |
7717 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PARITER SECURITIES, LLC |
127836 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 243 Carretera |
#2 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Guaynabo |
PUERTO RICO |
00922 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| NEW YORK |
| PUERTO RICO |
| FLORIDA |
| CALIFORNIA |
| MARYLAND |
| MASSACHUSETTS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TITAN SECURITIES |
131392 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| MICHIGAN |
| OHIO |
| IDAHO |
| WYOMING |
| FLORIDA |
| MARYLAND |
| SOUTH DAKOTA |
| ARKANSAS |
| UTAH |
| INDIANA |
| WEST VIRGINIA |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| MISSOURI |
| KANSAS |
| LOUISIANA |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| COLORADO |
| NORTH CAROLINA |
| PENNSYLVANIA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ADVISORY GROUP EQUITY SERVICES LTD. |
15427 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 444 WASHINGTON STREET |
SUITE 407 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WOBURN |
MASSACHUSETTS |
01801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ARKADIOS CAPITAL |
282710 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 309 EAST PACES FERRY ROAD |
SUITE 1000 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ATLANTA |
GEORGIA |
30305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| KENTUCKY |
| WISCONSIN |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CENTAURUS FINANCIAL, INC. |
30833 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CLARAPHI ADVISORY NETWORK, LLC |
165868 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 120 VANTIS DRIVE SUITE 585 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ALISO VIEJO |
CALIFORNIA |
92656 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| VIRGINIA |
| OHIO |
| FLORIDA |
| MARYLAND |
| SOUTH CAROLINA |
| ILLINOIS |
| CONNECTICUT |
| MINNESOTA |
| WISCONSIN |
| ARIZONA |
| MISSOURI |
| OREGON |
| WASHINGTON |
| NEW JERSEY |
| NEW MEXICO |
| TEXAS |
| COLORADO |
| NORTH CAROLINA |
| PENNSYLVANIA |
| NEBRASKA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DEMPSEY LORD SMITH, LLC |
141238 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 901 N BROAD STREET |
SUITE 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ROME |
GEORGIA |
30161 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FORESIGHT WEALTH MANAGEMENT, LLC |
153881 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 11550 SOUTH 700 EAST SUITE 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| DRAPER |
UTAH |
84020 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ILLINOIS |
| UTAH |
| NEW YORK |
| NEVADA |
| MINNESOTA |
| ARIZONA |
| CALIFORNIA |
| OREGON |
| WASHINGTON |
| NEW JERSEY |
| IDAHO |
| WYOMING |
| TEXAS |
| COLORADO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| KALOS CAPITAL, INC. |
44337 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 11525 PARK WOODS CIRCLE |
SUITE 280 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ALPHARETTA |
GEORGIA |
30005 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LANDOLT SECURITIES, INC. |
28352 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 701 OREGON STREET |
| City |
State/Province/Country |
ZIP/Postal Code |
| OSHKOSH |
WISCONSIN |
54902 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NI ADVISORS |
134502 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1138 CADILLAC COURT |
| City |
State/Province/Country |
ZIP/Postal Code |
| MILPITAS |
CALIFORNIA |
95035 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| SOUTH CAROLINA |
| HAWAII |
| NEW YORK |
| CONNECTICUT |
| GEORGIA |
| NEVADA |
| ARIZONA |
| CALIFORNIA |
| MISSOURI |
| OREGON |
| MAINE |
| WASHINGTON |
| VIRGINIA |
| NEW JERSEY |
| MICHIGAN |
| IDAHO |
| TEXAS |
| FLORIDA |
| PENNSYLVANIA |
| NORTH CAROLINA |
| MARYLAND |
| MASSACHUSETTS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PRESIDENTIAL BROKERAGE, INC. |
28784 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5445 DTC PKWY |
STE. 1100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| GREENWOOD VILLAGE |
COLORADO |
80111 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW JERSEY |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| KENTUCKY |
| WISCONSIN |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SILVERHAWK ASSET MANAGEMENT, LLC |
167798 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 21090 N. PIMA ROAD |
| City |
State/Province/Country |
ZIP/Postal Code |
| SCOTTSDALE |
ARIZONA |
85255 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| WASHINGTON |
| CONNECTICUT |
| TENNESSEE |
| ARIZONA |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| STAINES FINANCIAL, LLC |
299405 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1420 ROCKY RIDGE DRIVE SUITE 250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ROSEVILLE |
CALIFORNIA |
95661 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| NEW HAMPSHIRE |
| NEW YORK |
| NEW JERSEY |
| TEXAS |
| CALIFORNIA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| THE STRATEGIC FINANCIAL ALLIANCE, INC. |
126514 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2200 CENTURY PARKWAY |
SUITE 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ATLANTA |
GEORGIA |
30345 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CORNERSTONE WEALTH ADVISORS, INC. |
124947 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 5201 EDEN AVENUE SOUTH SUITE 135 |
| City |
State/Province/Country |
ZIP/Postal Code |
| EDINA |
MINNESOTA |
55436 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| MINNESOTA |
| WISCONSIN |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| WESTPARK CAPITAL, INC. |
39914 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LEGACY WEALTH MANAGEMENT, LLC |
174767 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 13965 W. CHINDEN BLVD. SUITE 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boise |
IDAHO |
83713 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| WASHINGTON |
| UTAH |
| ILLINOIS |
| HAWAII |
| MICHIGAN |
| IDAHO |
| TEXAS |
| COLORADO |
| ARIZONA |
| FLORIDA |
| CALIFORNIA |
| OREGON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MONEY CONCEPTS CAPITAL CORP |
12963 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| 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 |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| COASTAL EQUITIES, INC. |
23769 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1201 N. ORANGE STREET |
SUITE 729 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WILMINGTON |
DELAWARE |
19801 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| RHODE ISLAND |
| VERMONT |
| HAWAII |
| MAINE |
| VIRGINIA |
| MICHIGAN |
| DELAWARE |
| IDAHO |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| ARKANSAS |
| ILLINOIS |
| UTAH |
| INDIANA |
| MINNESOTA |
| ARIZONA |
| MISSOURI |
| MONTANA |
| MISSISSIPPI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| PUERTO RICO |
| NEW MEXICO |
| ALASKA |
| ALABAMA |
| TEXAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW YORK |
| GEORGIA |
| NEVADA |
| TENNESSEE |
| CALIFORNIA |
| OKLAHOMA |
| OHIO |
| WYOMING |
| FLORIDA |
| SOUTH DAKOTA |
| SOUTH CAROLINA |
| CONNECTICUT |
| WEST VIRGINIA |
| DISTRICT OF COLUMBIA |
| WISCONSIN |
| KENTUCKY |
| KANSAS |
| OREGON |
| LOUISIANA |
| WASHINGTON |
| COLORADO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| UNCOMMON CAPITAL, LLC |
226622 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 11601 Blocker Dr #105 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Auburn |
CALIFORNIA |
95603 |
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 |
$200,000,000
|
USD |
|
| Total Amount Sold |
$103,140,519
|
USD |
| Total Remaining to be Sold |
$96,859,481
|
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 |
$19,000,000
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
The above estimated sale commissions include the dealer manager and marketing reallowance fees16. 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):
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 |
| Carter Multifamily Growth & Income Fund, LLC |
/s/ Thomas W. Guard |
Thomas W. Guard |
Chief Financial Officer |
2019-10-31 |
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.