0001618400-23-000002.txt : 20230425 0001618400-23-000002.hdr.sgml : 20230425 20230425075056 ACCESSION NUMBER: 0001618400-23-000002 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 NOSACKA,STEVEN,THOMAS, FILED AS OF DATE: 20230421 DATE AS OF CHANGE: 20230425 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Trinity Capital Resources, LLC CENTRAL INDEX KEY: 0001618400 IRS NUMBER: 270926984 STATE OF INCORPORATION: LA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-02895 FILM NUMBER: 23841779 BUSINESS ADDRESS: STREET 1: 606 N MILLET AVENUE CITY: GRAMERCY STATE: LA ZIP: 70052 BUSINESS PHONE: 2252955631 MAIL ADDRESS: STREET 1: 606 N MILLET AVENUE CITY: GRAMERCY STATE: LA ZIP: 70052 MA-I/A 1 primary_doc.xml MA-I/A 0001618400 XXXXXXXX Steven T Nosacka 2252955631 steve_trinity@cox.net steve_trinity@cox.net N 0001618400-14-000003 N Steven Thomas Nosacka N 1 0001618400 Trinity Capital Resources, LLC 06-13-2005 N 09-17-2014 0001618400 LOCATED SUPERVISED 06-13-2005 06-2005 Trinity Capital Resources, LLC Gramercy LA 70052 Y N President 09-1998 06-2005 King, Bossier, Nosacka & Holley, Inc. Baton Rouge LA 70802 Y N Associate Y 06-2018 Trinity Natural Resources, LLC 606 N Millet Ave Gramercy LA 70052 N N Consulting Services President 1 Consulting with municipal utility systems 03-2018 Next Twenty-Five Inc 9100 Safety Drive Convent LA 70723 N N Foundation 501(c)3 which supports workforce development, including technical training and job placement for area young people Secretary 2 Serve as an officer (Secretary), without compensation, for the charity 01-2019 South Central Planning and Development Commission 5058 West Main Street Houma LA 70360 N N Regional Governmental Planning Commission Treasurer 1 Appointed position, uncompensated, by virtue of serving as Mayor of Town of Gramercy, duties consisted of attendance at and participation in Commission/Board meetings (my appointment expired 12/31/2022) N N N N N N N N N N N N N N N N N N N Y N Y N N N N N N N N N N N N N N N N N N N N N N N N N N N N 04-21-2023 Steven Nosacka President At that time I was employed by the firm of King, Bossier, Nosacka & Holley Inc (KBNH), providing municipal financial advisory services to local governmental entities, and was also employed by the firm of Merchant Capital Inc as a representative of this firm providing underwriting exclusively for corporate bonds. The political contributions that I had made were strictly in support of our KBNH municipal financial advisory services. None of those KBNH-clients (local governmental entities) had any decision-making authority or influence with respect to the private companies that we served or solicited for corporate bond underwriting. For this reason, our interpretation of applicable rules was that we were not required to report those contributions to/through Merchant Capital Inc. The NASD investigated and disagreed with us, which resulted in the Offer of Settlement with resulting fine and 31-day suspension. N 6E(4) 6E(2) NASD Suspension CivilAdminPenaltyFine 09-07-2004 NASD C05030055 NO LONGER HAVE THIS INFORMATION NEW ORLEANS LA 70130 Merchant Capital, Inc. Debt - Corporate Failure to disclose political contributions Consent Submitted an Offer of Settlement in which I was fined $10,000 and suspended from association from any NASD member in any capacity for 31 days. Without admitting or denying the allegations, I consented to the described sanctions and the entry of findings that I had failed to disclose political contributions to the Member firm (Merchant Capital Inc) as required by the firm's written supervisory procedures (NASD Case #C05030055). 10-07-2004