The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
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Entity Type |
0001198415 |
Altegris Winton Futures Fund LP |
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Corporation |
X |
Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
WINTON FUTURES FUND LP (US) |
Jurisdiction of Incorporation/Organization |
COLORADO |
Year of Incorporation/Organization |
X |
Over Five Years Ago |
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Within Last Five Years (Specify Year) |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
WINTON FUTURES FUND LP (US) |
Street Address 1 |
Street Address 2 |
1202 BERGEN PARKWAY |
SUITE 212 |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
EVERGREEN |
COLORADO |
80439-9559 |
303 674 1328 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Altegris Portfolio Management Inc |
n/a |
Street Address 1 |
Street Address 2 |
1202 Bergen Parkway |
Suite 212 |
City |
State/Province/Country |
ZIP/PostalCode |
Evergreen |
COLORADO |
80439 |
Relationship: |
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Executive Officer |
X |
Director |
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Promoter |
Clarification of Response (if Necessary):
General Partner of Issuer
Last Name |
First Name |
Middle Name |
Sundt |
Jon |
C |
Street Address 1 |
Street Address 2 |
1200 Prospect Street |
Suite 400 |
City |
State/Province/Country |
ZIP/PostalCode |
La Jolla |
CALIFORNIA |
92037 |
Relationship: |
|
Executive Officer |
X |
Director |
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Promoter |
Clarification of Response (if Necessary):
Director of Issuer's GP
Last Name |
First Name |
Middle Name |
Amedeo |
Robert |
J |
Street Address 1 |
Street Address 2 |
1202 Bergen Parkway |
Suite 212 |
City |
State/Province/Country |
ZIP/PostalCode |
Evergreen |
COLORADO |
80439 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of Issuer's GP
Last Name |
First Name |
Middle Name |
Osborne |
Matthew |
C |
Street Address 1 |
Street Address 2 |
1200 Prospect Street |
Suite 400 |
City |
State/Province/Country |
ZIP/PostalCode |
La Jolla |
CALIFORNIA |
92037 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Director of Issuer's GP
Last Name |
First Name |
Middle Name |
Pfister |
Richard |
G |
Street Address 1 |
Street Address 2 |
1200 Prospect Street |
Suite 400 |
City |
State/Province/Country |
ZIP/PostalCode |
La Jolla |
CALIFORNIA |
92037 |
Relationship: |
|
Executive Officer |
X |
Director |
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Promoter |
Clarification of Response (if Necessary):
Director of Issuer's GP
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
X |
Pooled Investment Fund |
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Hedge Fund |
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Private Equity Fund |
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Venture Capital Fund |
X |
Other Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
X |
Over $100,000,000 |
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Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 505 |
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Rule 504 (b)(1)(i) |
X |
Rule 506 |
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Rule 504 (b)(1)(ii) |
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Securities Act Section 4(5) |
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Rule 504 (b)(1)(iii) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
1999-11-03 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
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Equity |
X |
Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$10,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Altegris Investments Inc |
8258 |
Street Address 1 |
Street Address 2 |
1200 Prospect Street |
Suite 400 |
City |
State/Province/Country |
ZIP/Postal Code |
La Jolla |
CALIFORNIA |
92037 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Commonwealth Financial Network |
8032 |
Street Address 1 |
Street Address 2 |
29 Sawyer Road |
City |
State/Province/Country |
ZIP/Postal Code |
Waltham |
MASSACHUSETTS |
02453-3483 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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C.K. Cooper |
106578 |
Street Address 1 |
Street Address 2 |
18300 Von Karman Avenue |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
HAWAII |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
NEBRASKA |
NEVADA |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
TEXAS |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Uhlmann Price Securities LLC |
42854 |
Street Address 1 |
Street Address 2 |
141 W. Jackson Blvd |
Suite 1340A |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60604 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Arete Wealth Management LLC |
44856 |
Street Address 1 |
Street Address 2 |
9 Crystal Lake Road |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Lake in the Hills |
ILLINOIS |
60156 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALABAMA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MISSISSIPPI |
MONTANA |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OREGON |
PENNSYLVANIA |
TENNESSEE |
TEXAS |
UTAH |
VIRGINIA |
WISCONSIN |
WYOMING |
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Recipient |
Recipient CRD Number |
X |
None |
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over 5 |
None |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Pacific West Financial Consultants Inc |
6390 |
Street Address 1 |
Street Address 2 |
One Renton Place |
555 S. Renton Village Pl, #700 |
City |
State/Province/Country |
ZIP/Postal Code |
Renton |
WASHINGTON |
98055 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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Recipient |
Recipient CRD Number |
X |
None |
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morethan 5 |
None |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Polar Investment Counsel Inc |
42847 |
Street Address 1 |
Street Address 2 |
19547 210th Ave NE |
City |
State/Province/Country |
ZIP/Postal Code |
Thief River Falls |
MINNESOTA |
56701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
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 |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Brewer Financial Services LLC |
132558 |
Street Address 1 |
Street Address 2 |
200 South Michigan Ave |
21st Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60604 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Cambridge Investment Research Inc |
39543 |
Street Address 1 |
Street Address 2 |
1776 Pleasant Plain Rd |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfield |
IOWA |
52556-8757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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Recipient |
Recipient CRD Number |
X |
None |
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more than 5 |
None |
(Associated) Broker or Dealer |
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None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Purshe Kaplan Sterling Investments |
35747 |
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 |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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VSR Financial Services Inc |
14503 |
Street Address 1 |
Street Address 2 |
8620 W. 110th Street |
#200 |
City |
State/Province/Country |
ZIP/Postal Code |
Overland Park |
KANSAS |
66210-9651 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Financial West Investment Group Inc |
16668 |
Street Address 1 |
Street Address 2 |
4510 E. Thousand Oaks Blvd |
City |
State/Province/Country |
ZIP/Postal Code |
Westlake Village |
CALIFORNIA |
91359-5123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Berthel Fisher & Company Financial Services |
13609 |
Street Address 1 |
Street Address 2 |
701 TAMA STREET, Bldg B |
City |
State/Province/Country |
ZIP/Postal Code |
Marion |
IOWA |
52302-0609 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Synergy Investment Group LLC |
46035 |
Street Address 1 |
Street Address 2 |
8320 University Executive Park Dr |
Siote 112 |
City |
State/Province/Country |
ZIP/Postal Code |
Charlotte |
NORTH CAROLINA |
28262 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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ALABAMA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
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 |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Girard Securities |
18697 |
Street Address 1 |
Street Address 2 |
9560 Waples Street |
Suite B |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92121 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cascade Financial Management Icn |
119030 |
Street Address 1 |
Street Address 2 |
1512 Larimer Street |
Suite 250 |
City |
State/Province/Country |
ZIP/Postal Code |
Denver |
COLORADO |
80202 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
SOUTH CAROLINA |
SOUTH DAKOTA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
B C Ziegler |
61 |
Street Address 1 |
Street Address 2 |
200 S. Wacker Dr. |
Suite 2000 |
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 |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
ING Financial Partners |
2882 |
Street Address 1 |
Street Address 2 |
909 Locust Street |
City |
State/Province/Country |
ZIP/Postal Code |
Des Moines |
IOWA |
50309 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
LPL Financial |
6413 |
Street Address 1 |
Street Address 2 |
9785 Towne Centre Drive |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92121-1968 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
MCL Financial Group Inc |
41180 |
Street Address 1 |
Street Address 2 |
1551 North Tustin Ave |
Suite 960 |
City |
State/Province/Country |
ZIP/Postal Code |
Santa Ana |
CALIFORNIA |
92705 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Multi-Financial Securities Corp |
10299 |
Street Address 1 |
Street Address 2 |
1209 Broadway |
14th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Denver |
COLORADO |
80203 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
SII Investments Inc |
2225 |
Street Address 1 |
Street Address 2 |
5555 Grande Market Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Appleton |
WISCONSIN |
54913-8403 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sunbelt Securities |
42180 |
Street Address 1 |
Street Address 2 |
5075 Westheimer |
Suite 670 |
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 |
|
|
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
FLORIDA |
ILLINOIS |
KANSAS |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
TEXAS |
VIRGINIA |
WASHINGTON |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wunderlich Securities |
2543 |
Street Address 1 |
Street Address 2 |
6000 Poplar |
Suite 150 |
City |
State/Province/Country |
ZIP/Postal Code |
Memphis |
TENNESSEE |
38119 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investment Centers of America Inc |
16443 |
Street Address 1 |
Street Address 2 |
5555 Grande Market Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Appleton |
WISCONSIN |
54913-8403 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
National Planning Corporation |
29604 |
Street Address 1 |
Street Address 2 |
401 Wilshire Blve |
Suite 1100 |
City |
State/Province/Country |
ZIP/Postal Code |
Santa Monica |
CALIFORNIA |
90401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Abshier Webb Donnelly & Baker, Inc. |
104051 |
Street Address 1 |
Street Address 2 |
2500 City West Blvd., Ste 590 |
City |
State/Province/Country |
ZIP/Postal Code |
Houston |
TEXAS |
77042 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MISSISSIPPI |
MONTANA |
NEBRASKA |
NEVADA |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Financial Network Investment Corp |
13572 |
Street Address 1 |
Street Address 2 |
200 N. Sepulveda Blvd., Ste 1300 |
City |
State/Province/Country |
ZIP/Postal Code |
El Segundo |
CALIFORNIA |
90245-5672 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
First Independent Financial Services, Inc,. |
128904 |
Street Address 1 |
Street Address 2 |
7134 South Yale, Ste 560 |
City |
State/Province/Country |
ZIP/Postal Code |
Tulsa |
OKLAHOMA |
74136 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
DELAWARE |
FLORIDA |
GEORGIA |
HAWAII |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MISSOURI |
NEVADA |
NEW MEXICO |
NEW YORK |
OHIO |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FSC Securities Corporation |
7461 |
Street Address 1 |
Street Address 2 |
2300 Windy Ridge Pkwy, Ste 1100 |
City |
State/Province/Country |
ZIP/Postal Code |
Atlanta |
GEORGIA |
30339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Geneos Wealth Management, Inc |
120894 |
Street Address 1 |
Street Address 2 |
9055 E. Mineral Circle, Ste 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Centennial |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Glen Eagle Advisors LLC |
124504 |
Street Address 1 |
Street Address 2 |
200 American Metro Blvd., Ste 114 |
City |
State/Province/Country |
ZIP/Postal Code |
Hamilton |
NEW JERSEY |
08619 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
ILLINOIS |
KENTUCKY |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
SOUTH CAROLINA |
TEXAS |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Harrison Douglas, Inc. |
16515 |
Street Address 1 |
Street Address 2 |
3025 South Parker Rd, #801 |
City |
State/Province/Country |
ZIP/Postal Code |
Aurora |
COLORADO |
80014 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
INDIANA |
MISSOURI |
NEBRASKA |
NEVADA |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
SOUTH CAROLINA |
TENNESSEE |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
12636 High Bluff Dr., Ste 100 |
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 |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Invest Financial Corporation |
12984 |
Street Address 1 |
Street Address 2 |
8745 Henderson Rd., Ste 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Tampa |
FLORIDA |
33634 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lara, Shull & May, LLC |
145589 |
Street Address 1 |
Street Address 2 |
7600 Leesburg Pike, Ste 120 East |
City |
State/Province/Country |
ZIP/Postal Code |
Falls Church |
VIRGINIA |
22043 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
IDAHO |
ILLINOIS |
INDIANA |
KANSAS |
LOUISIANA |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
SOUTH CAROLINA |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Madison Avenue Securities, Inc. |
23224 |
Street Address 1 |
Street Address 2 |
10731 Treena St., Ste 201 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92131 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Meridian United Capital, LLC |
122924 |
Street Address 1 |
Street Address 2 |
8800 No. Gainey Center Dr., Ste 176 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85258 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
IDAHO |
ILLINOIS |
INDIANA |
KANSAS |
MARYLAND |
MICHIGAN |
MINNESOTA |
MISSOURI |
MONTANA |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Money Concepts Capital Group |
12963 |
Street Address 1 |
Street Address 2 |
11440 North Jog Road |
City |
State/Province/Country |
ZIP/Postal Code |
Palm Beach Gardens |
FLORIDA |
33418-3764 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mutual Service Corporation |
4806 |
Street Address 1 |
Street Address 2 |
200 Australian Ave South |
City |
State/Province/Country |
ZIP/Postal Code |
West Palm Beach |
FLORIDA |
33401-5012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Spire Securities, LLC |
144131 |
Street Address 1 |
Street Address 2 |
12355 Sunrise Valley Dr., Ste 305 |
City |
State/Province/Country |
ZIP/Postal Code |
Reston |
VIRGINIA |
20191 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MISSOURI |
NEBRASKA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stateside Securities, LLC |
13178 |
Street Address 1 |
Street Address 2 |
2002 Summit Blvd. Ste 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Atlanta |
GEORGIA |
30319 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
CALIFORNIA |
CONNECTICUT |
FLORIDA |
GEORGIA |
IOWA |
MASSACHUSETTS |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
TENNESSEE |
TEXAS |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sterne, Agee & Leach, Inc. |
791 |
Street Address 1 |
Street Address 2 |
800 Shades Creek Pkwy, Ste 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Birmingham |
ALABAMA |
35209 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stifel, Nicolaus & Company, Incorporated |
793 |
Street Address 1 |
Street Address 2 |
501 North Broadway |
City |
State/Province/Country |
ZIP/Postal Code |
St. Louis |
MISSOURI |
63102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, Inc. |
25803 |
Street Address 1 |
Street Address 2 |
5185 Peachtree Pkwy, Ste 280 |
City |
State/Province/Country |
ZIP/Postal Code |
Norcross |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Veritrust Financial, LLC |
106594 |
Street Address 1 |
Street Address 2 |
3755 Capital Highway South, Ste 130 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78704 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
WFG Investments, Inc. |
22704 |
Street Address 1 |
Street Address 2 |
2711 N. Haskell Ave., Ste 2900 |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Comprehensive Asset Management and Servicing, Inc. |
43814 |
Street Address 1 |
Street Address 2 |
2001 Route 46, Suite 506 |
City |
State/Province/Country |
ZIP/Postal Code |
Parsippany |
NEW JERSEY |
07054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ALASKA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
BrokersXpress LLC |
127081 |
Street Address 1 |
Street Address 2 |
311 W. Monroe St. Ste 100 |
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 |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Investment Architects, Inc. |
17774 |
Street Address 1 |
Street Address 2 |
34 Petaluma Blvd. North |
City |
State/Province/Country |
ZIP/Postal Code |
Petaluma |
CALIFORNIA |
94952-3079 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
IDAHO |
MISSOURI |
MONTANA |
NEVADA |
OREGON |
TEXAS |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Steven L. Falk & Associates Inc. |
14297 |
Street Address 1 |
Street Address 2 |
11280 Granite Ridge Dr. Ste 1042 |
City |
State/Province/Country |
ZIP/Postal Code |
Las Vegas |
NEVADA |
89135 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
CONNECTICUT |
DISTRICT OF COLUMBIA |
FLORIDA |
HAWAII |
ILLINOIS |
MARYLAND |
MASSACHUSETTS |
NEVADA |
NEW HAMPSHIRE |
NEW JERSEY |
NEW YORK |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
VIRGINIA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Capital Analysts Incorporated |
5478 |
Street Address 1 |
Street Address 2 |
303 Broadway Ste 1500 |
City |
State/Province/Country |
ZIP/Postal Code |
Cincinnati |
OHIO |
45202 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Capital Guardian LLC |
137919 |
Street Address 1 |
Street Address 2 |
420 Park St, Ste 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Belmont |
NORTH CAROLINA |
28012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Corinthian Partners LLC |
38912 |
Street Address 1 |
Street Address 2 |
10 East 53rd St, 28th Floor |
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 |
|
|
ALABAMA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
ILLINOIS |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
NEBRASKA |
NEVADA |
NEW JERSEY |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
RHODE ISLAND |
TEXAS |
VIRGINIA |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Hightower Securities LLC |
116681 |
Street Address 1 |
Street Address 2 |
525 W. Monroe St, Ste 2300 |
City |
State/Province/Country |
ZIP/Postal Code |
Chicago |
ILLINOIS |
60661 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J. P. Turner & Company, LLC |
43177 |
Street Address 1 |
Street Address 2 |
One Buckhead Plaza |
3060 Peachtree Rd NW, 11th Flr |
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 |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kovack Securities Inc. |
44848 |
Street Address 1 |
Street Address 2 |
6451 N. Federal Hwy, Ste 1201 |
City |
State/Province/Country |
ZIP/Postal Code |
Ft Lauderdale |
FLORIDA |
33308 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mid Atlantic Capital Corporation |
10674 |
Street Address 1 |
Street Address 2 |
1251 Waterfront Place, Ste 510 |
City |
State/Province/Country |
ZIP/Postal Code |
Pittsburgh |
PENNSYLVANIA |
15222-6368 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Newport Coast Securities, Inc |
16944 |
Street Address 1 |
Street Address 2 |
18872 MacArthur Blvd, Ste 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92612 |
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 |
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 |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Oppenheimer & Co. Inc. |
249 |
Street Address 1 |
Street Address 2 |
125 Broad St. 16th Flr |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Rice Pontes Capital, Inc. |
40056 |
Street Address 1 |
Street Address 2 |
2001 Crow Canyon Rd, Ste 150 |
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 |
|
|
CALIFORNIA |
COLORADO |
OREGON |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
The Strategic Financial Alliance, Inc |
126514 |
Street Address 1 |
Street Address 2 |
2200 Century Pkwy, Ste 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 |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Titan Securities |
131392 |
Street Address 1 |
Street Address 2 |
13455 Noel Rd, Ste 310 |
Two Galleria Tower |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75240 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
GEORGIA |
ILLINOIS |
INDIANA |
MAINE |
MINNESOTA |
MISSOURI |
NEVADA |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
X |
None |
|
more than 5 |
None |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FMN Capital Corporation |
38105 |
Street Address 1 |
Street Address 2 |
26041 Acero |
City |
State/Province/Country |
ZIP/Postal Code |
Mission Viejo |
CALIFORNIA |
92691 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
HAWAII |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
SOUTH CAROLINA |
SOUTH DAKOTA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WISCONSIN |
|
13. Offering and Sales Amounts
Total Offering Amount |
|
USD |
|
Total Amount Sold |
$770,133,813
|
USD |
Total Remaining to be Sold |
|
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 |
$1,154,928
|
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):
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 Rule 505 exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).
|
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 |
WINTON FUTURES FUND LP (US) |
Robert J. Amedeo |
Robert J Amedeo |
VP of GP |
2010-09-13 |
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.