0001783919-20-000005.txt : 20201215 0001783919-20-000005.hdr.sgml : 20201215 20201215090023 ACCESSION NUMBER: 0001783919-20-000005 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20201210 DATE AS OF CHANGE: 20201215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FTG Advisors, LLC CENTRAL INDEX KEY: 0001783919 IRS NUMBER: 842408501 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-02480 FILM NUMBER: 201388309 BUSINESS ADDRESS: STREET 1: P.O. BOX 4725 CITY: SCOTTSDALE STATE: AZ ZIP: 85261 BUSINESS PHONE: 480-442-0407 MAIL ADDRESS: STREET 1: P.O. BOX 4725 CITY: SCOTTSDALE STATE: AZ ZIP: 85261 MA/A 1 primary_doc.xml MA/A 0001783919 XXXXXXXX Irene Carroll 480-442-0407 icarroll@fundingthegap.com icarroll@ftgadvisorsllc.com FTG Advisors, LLC 84-2408501 867-02480 8501 North Scottsdale Rd, Suite 155 Scottsdale AZ 85253 602-955-4433 Y P.O. Box 4725 Scottsdale AZ 85261 Irene Porras Carroll 602-684-3184 icarroll@ftgadvisorsllc.com Irene Porras Carroll 602-684-3184 icarroll@fundingthegap.com Add Dropbox, Inc. 185 Berry Street Suite 400 San Francisco CA 94107 415-986-7057 415-789-4548 Client and business files held in 'cloud' Funding The Gap, LLC Y (1) Arizona Dept of Financial Institutions; (2) Arizona Dept of Real Estate (1) 0918112; (2) SA631019000 AZ December AZ 09-27-2018 N 1 1 0 0 0 0 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Other Applicant fees for services will be contingent upon the borrower's acceptance of the terms in their sole and absolute discretion. Not Applicable Advice Insurance Of MS Advice On Selection N Other municipal advisor 1 NewAdd Other municipal advisor Irene Carroll n/a Y N N N N N N N N N N N N N N N N N N N N Y N Y Y N N N N N N N N N N N N N N N Y N Irene Porras Carroll Principal, Member 09-27-2018 E Y 000000000 Dena Marie Coelho Chief Compliance Officer 09-27-2018 NA N 000000000 Irene Porras Carroll Principal, Member 09-27-2018 E Y 000000000 Delete Dena Marie Coelho Chief Compliance Officer 09-27-2018 NA N 000000000 1 9-C2 9-C4 9-C5 Irene Porras Carroll Y 868-05552 Administrative Proceeding before the Securities and Exchange Commission 3-20072 N/A N/a GA 30301 Irene Carroll provided consulting services to charter schools through Funding the Gap, LLC. The SEC alleged that the services provided included the giving of municipal advice. 09-25-2020 Cease and Desist CivilAdminPenaltyFine Other Municipal Bonds Alleged that Irene Carroll through Funding the Gap, LLC provided municipal advise to several charter schools in connection with the issuance of municipal bonds without Funding the Gap, LLC being registered as a municipal advisor. 09-25-2020 Decision & Order of Offer of Settlement N Y Cease and Desist CivilAdminPenaltyFine 30000.00 30000.00 09-30-2020 30000.00 Irene Porras Carroll Irene Porras Carroll Principal and Chief Compliance Officer 12-10-2020 N N N N N N N N Y N Y N Y N N N N N N N N