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 |
| 0001480373 |
|
| |
Corporation |
| |
Limited Partnership |
| X |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| Cypress Equipment Fund 17, LLC |
| Jurisdiction of Incorporation/Organization |
|---|
| CALIFORNIA |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2009 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Cypress Equipment Fund 17, LLC |
| Street Address 1 |
Street Address 2 |
| 188 THE EMBARCADERO, SUITE 420 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| SAN FRANCISCO |
CALIFORNIA |
94105 |
415-281-3020 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Harwood |
Stephen |
Rogers |
| Street Address 1 |
Street Address 2 |
| 188 The Embarcadero, Suite 420 |
| City |
State/Province/Country |
ZIP/PostalCode |
| San Francisco |
CALIFORNIA |
94105 |
| Relationship: |
X |
Executive Officer |
X |
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Officer and Director of LLC Manager
| Last Name |
First Name |
Middle Name |
| Cypress Equipment Management Corp V |
NA |
NA |
| Street Address 1 |
Street Address 2 |
| 188 The Embarcadero, Suite 420 |
| City |
State/Province/Country |
ZIP/PostalCode |
| San Francisco |
CALIFORNIA |
94105 |
| Relationship: |
X |
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
LLC Manager
| Last Name |
First Name |
Middle Name |
| Park |
Kenneth |
| Street Address 1 |
Street Address 2 |
| 188 The Embarcadero, Suite 420 |
| City |
State/Province/Country |
ZIP/PostalCode |
| San Francisco |
CALIFORNIA |
94015 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Officer of LLC Manager
| Last Name |
First Name |
Middle Name |
| Rael |
Daniel |
| Street Address 1 |
Street Address 2 |
| 188 The Embarcadero, Suite 420 |
| City |
State/Province/Country |
ZIP/PostalCode |
| San Francisco |
CALIFORNIA |
94105 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Officer of LLC Manager
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? |
|
|
| X |
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 505 |
| |
Rule 504 (b)(1)(i) |
X |
Rule 506 |
| |
Rule 504 (b)(1)(ii) |
|
Securities Act Section 4(5) |
| |
Rule 504 (b)(1)(iii) |
|
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 |
2010-02-08 |
|
|
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 |
$35,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cypress Capital Corporation |
42618 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cypress Capital Corporation |
42618 |
| Street Address 1 |
Street Address 2 |
| 188 The Embarcadero, Suite 420 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94105 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NORTH CAROLINA |
| NEBRASKA |
| NEW JERSEY |
| NEVADA |
| NEW YORK |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| VSR Financial Services, Inc. |
14503 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VSR Financial Services, Inc |
14503 |
| Street Address 1 |
Street Address 2 |
| 8620 W. 110th Street, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Overland Park |
KANSAS |
66210 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Berthel, Fisher and Company Financial Services, Inc. |
13609 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Berthel, Fisher and Company Financial Services, Inc. |
13609 |
| Street Address 1 |
Street Address 2 |
| 701 Tama Street, Bldg. B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marion |
IOWA |
52302 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 29 Sawyer Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Waltham |
MASSACHUSETTS |
02453 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Independent Financial Group, LLC |
7717 |
| (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 Drive, Suite 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 |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Madison Avenue Securities, Inc. |
23224 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Madison Avenue Securities, Inc. |
23224 |
| Street Address 1 |
Street Address 2 |
| 15050 Avenue of Science, Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NFP Securities, Inc. |
42046 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NFP Securities, Inc. |
42046 |
| Street Address 1 |
Street Address 2 |
| 1250 Capital of Texas Hwy., No. 2-125 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Pacific West Securities, Inc. |
6390 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Pacific West Securities, Inc. |
6390 |
| Street Address 1 |
Street Address 2 |
| 555 S. Renton Village Pl, Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Renton |
WASHINGTON |
98057 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Proequities, Inc. |
15708 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Proequities, Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 2801 Highway 280 South |
| City |
State/Province/Country |
ZIP/Postal Code |
| Birmingham |
ALABAMA |
35223 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Questar Capital Corporation |
43100 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Questar Capital Corporation |
43100 |
| Street Address 1 |
Street Address 2 |
| 5701 Golden Hills Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Minneapolis |
MINNESOTA |
55416 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sammons Securities Company, LLC |
115368 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sammons Securities Company, LLC |
115368 |
| Street Address 1 |
Street Address 2 |
| 4261 Park Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ann Arbor |
MICHIGAN |
48103 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William J. Brown |
1056215 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Portfolios Financial Services, Inc. |
18487 |
| Street Address 1 |
Street Address 2 |
| 33 Bloomfield Hills Parkway, Ste. 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bloomfield Hills |
MICHIGAN |
48304 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| KANSAS |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NORTH CAROLINA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ameritas Investment Corp. |
14869 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ameritas Investment Corp. |
14869 |
| Street Address 1 |
Street Address 2 |
| 5900 O Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lincoln |
NEBRASKA |
68510 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James E. Steiger |
2238190 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton and Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 11762 Douglass Street, Suite 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Arlington |
TENNESSEE |
38002 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARKANSAS |
| FLORIDA |
| MISSISSIPPI |
| OKLAHOMA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| George Werner |
2145332 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton and Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 14497 N. Dale Mabry Hwy., Suite 215 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FLORIDA |
33618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| MARYLAND |
| MINNESOTA |
| NORTH CAROLINA |
| OKLAHOMA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Oliver B. Williamson |
4642029 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton and Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 611 Hambley Blvd., Suite 3 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pikeville |
KENTUCKY |
41501 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| INDIANA |
| KENTUCKY |
| NORTH CAROLINA |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Crown Capital Securities, L.P. |
6312 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities, L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 725 Town and Country Road, Suite 530 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dewaay Financial Network, LLC |
30767 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Dewaay Financial Network, LLC |
30767 |
| Street Address 1 |
Street Address 2 |
| 13001 University Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Clive |
IOWA |
50325 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kenneth D. Tucker |
2163052 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Calton and Associates, Inc. |
20999 |
| Street Address 1 |
Street Address 2 |
| 348 New Byhalia Road, Suite 8 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Collierville |
TENNESSEE |
38017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| KENTUCKY |
| LOUISIANA |
| MISSISSIPPI |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nathan L. Rewerts |
2913269 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investment Planners, Inc. |
18557 |
| Street Address 1 |
Street Address 2 |
| 5950 SW 28th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Topeka |
KANSAS |
66614 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| KANSAS |
| MASSACHUSETTS |
| MARYLAND |
| MINNESOTA |
| OKLAHOMA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas J. Birch |
805540 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Mid Atlantic Capital Corporation |
10674 |
| Street Address 1 |
Street Address 2 |
| 1683 Novato Blvd., Suite 2 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Novato |
CALIFORNIA |
94949 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| GEORGIA |
| IDAHO |
| MARYLAND |
| MISSOURI |
| OREGON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dabney M. Daniel |
2359050 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Midsouth Capital, Inc. |
35039 |
| Street Address 1 |
Street Address 2 |
| 1050 Crown Point Parkway, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30338 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Louis H. Lobe |
4314977 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 1389 St. Michaels Ct. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lilburn |
GEORGIA |
30047 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MINNESOTA |
| NORTH CAROLINA |
| OHIO |
| SOUTH CAROLINA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Charles C. Shafe |
1277113 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Transam Securities, Inc. |
18923 |
| Street Address 1 |
Street Address 2 |
| 531 Versailles Drive, Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Maitland |
FLORIDA |
32751 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| GEORGIA |
| MICHIGAN |
| NORTH CAROLINA |
| NEW JERSEY |
| NEW YORK |
| SOUTH CAROLINA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Terry D. Wheeler |
2163092 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| QA3 Financial Corp. |
14754 |
| Street Address 1 |
Street Address 2 |
| 2601 K Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sacramento |
CALIFORNIA |
95816 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| MONTANA |
| NEW MEXICO |
| OREGON |
| TENNESSEE |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Triad Advisors, Inc. |
25803 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors, Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 5185 Peachtree Parkway, 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 |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Woodbury Financial Services, Inc. |
421 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services, Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 7755 Third Street North |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oakdale |
MINNESOTA |
55128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert A. Horning |
2311640 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 3 MacArthur Place, Suite 855 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Ana |
CALIFORNIA |
92707 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| HAWAII |
| IOWA |
| LOUISIANA |
| NEVADA |
| NEW YORK |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Vic V. Mullet |
4656976 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 2822 3rd Avenue North, Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Billings |
MONTANA |
59101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| MONTANA |
| TENNESSEE |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Maryellen Trotter |
862519 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 1515 E. Cedar Avenue, Suite C-5 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Flagstaff |
ARIZONA |
86004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| MISSISSIPPI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John L. Pence |
2350924 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| Street Address 1 |
Street Address 2 |
| 107 Weatherstone Drive, Suite 520 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Woodstock |
GEORGIA |
30188 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| FLORIDA |
| GEORGIA |
| SOUTH CAROLINA |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 2300 Windy Ridge Pkwy, Suite 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 |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joseph M. Gatt |
218745 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Girard Securities, Inc. |
18697 |
| Street Address 1 |
Street Address 2 |
| 1455 East Tropicana Avenue, Suite 275 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Las Vegas |
NEVADA |
89119 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| NEVADA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lora J. Hoff |
3175071 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investment Planners, Inc. |
18557 |
| Street Address 1 |
Street Address 2 |
| 10440 N. Central Expressway, Suite 1040 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75231 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| IOWA |
| MINNESOTA |
| MISSOURI |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gerald D. Kroeger |
1176761 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KMS Financial Services, Inc. |
3866 |
| Street Address 1 |
Street Address 2 |
| 5901 SW MacAdam Avenue, Suite 135 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97239 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| IOWA |
| OREGON |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Hatley J. Harrell Jr. |
4594137 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lowell and Company, Inc. |
24913 |
| Street Address 1 |
Street Address 2 |
| 4021 84th Street, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lubbock |
TEXAS |
79423 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William H. Lowell |
1158722 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lowell and Company, Inc. |
24913 |
| Street Address 1 |
Street Address 2 |
| 4021 84th Street, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lubbock |
TEXAS |
79423 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| FLORIDA |
| NEW MEXICO |
| OKLAHOMA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lisa M. Lyons |
2086482 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Royal Alliance Associates, Inc. |
23131 |
| Street Address 1 |
Street Address 2 |
| 21800 Burbank Blvd., Suite 325 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Woodland Hills |
CALIFORNIA |
91367 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MICHIGAN |
| MISSOURI |
| MISSISSIPPI |
| NORTH CAROLINA |
| NEBRASKA |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Douglas J. Bauerband |
2850269 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 1184 Fischer Boulevard, Suite 1-D |
| City |
State/Province/Country |
ZIP/Postal Code |
| Toms River |
NEW JERSEY |
08753 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| GEORGIA |
| NORTH CAROLINA |
| NEW JERSEY |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joel M. Johnson |
1941908 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Silver Oak Securities, Incorporated |
46947 |
| Street Address 1 |
Street Address 2 |
| 100 Great Meadows Road, Suite 502 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wethersfield |
CONNECTICUT |
06109 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John T. Dunn |
2448503 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| Street Address 1 |
Street Address 2 |
| 107 Weatherstone Drive, Suite 520 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Woodstock |
GEORGIA |
30188 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| GEORGIA |
| ILLINOIS |
| LOUISIANA |
| NORTH CAROLINA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Warren D. Prehmus |
1875927 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| Street Address 1 |
Street Address 2 |
| 3930 East Jones Bridge Road, Suite 175 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Norcross |
GEORGIA |
30092 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| IOWA |
| ILLINOIS |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| VERMONT |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David L. Goodman |
1429972 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Transam Securities, Inc. |
18923 |
| Street Address 1 |
Street Address 2 |
| 1111 Douglas Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Altamonte Springs |
FLORIDA |
32714 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| NORTH CAROLINA |
| OHIO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James C. Gaul |
218833 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| Street Address 1 |
Street Address 2 |
| 1040 N. Kings Highway, Suite 405 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cherry Hill |
NEW JERSEY |
08034 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| INDIANA |
| MASSACHUSETTS |
| MAINE |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Patrick J. Mason |
322289 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Portforlios Financial Services, Inc. |
18487 |
| Street Address 1 |
Street Address 2 |
| 33 Bloomfield Hills Parkway, Ste. 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bloomfield Hills |
MICHIGAN |
48304 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gregory L. Hutto |
2742911 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| BFT Financial Group, LLC |
109121 |
| Street Address 1 |
Street Address 2 |
| 1109 Cheek Sparger Road, Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Colleyville |
TEXAS |
76034 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial LLC |
6413 |
| Street Address 1 |
Street Address 2 |
| One Beacon Street, 22nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boston |
MASSACHUSETTS |
02108 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Philip S. Blancato |
2122221 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ladenburg Thalmann and Co. Inc. |
505 |
| Street Address 1 |
Street Address 2 |
| 520 Madison Avenue |
| 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 |
|
|
| ALASKA |
| ALABAMA |
| ARKANSAS |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IOWA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MASSACHUSETTS |
| MARYLAND |
| MAINE |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| MISSISSIPPI |
| MONTANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEVADA |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| VERMONT |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edward J. Spanski, Jr. |
2356329 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Royal Alliance Associates, Inc. |
23131 |
| Street Address 1 |
Street Address 2 |
| 8207 Forest Shadow Circle |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cornelius |
NORTH CAROLINA |
28031 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| FLORIDA |
| GEORGIA |
| INDIANA |
| NORTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chirstopher R. Bice |
3222439 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 445 Dolly Madison, Suite 110 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greensboro |
NORTH CAROLINA |
27410 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| MARYLAND |
| NORTH CAROLINA |
| NEW YORK |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James R. Haught II |
2265510 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Summit Brokerage Services, Inc. |
34643 |
| Street Address 1 |
Street Address 2 |
| 12800 University Dr., Suite 155 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Myers |
FLORIDA |
33907 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| LOUISIANA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NORTH CAROLINA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WISCONSIN |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$35,000,000
|
USD |
|
| Total Amount Sold |
$33,009,723
|
USD |
| Total Remaining to be Sold |
$1,990,277
|
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 |
$2,805,827
|
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 |
| Cypress Equipment Fund 17, LLC |
/s/ Daniel Rael |
Daniel Rael |
Vice President of Manager of Issuer |
2011-02-01 |
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.