0001783919-22-000003.txt : 20220411 0001783919-22-000003.hdr.sgml : 20220411 20220409104956 ACCESSION NUMBER: 0001783919-22-000003 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220329 DATE AS OF CHANGE: 20220409 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: 22818365 BUSINESS ADDRESS: STREET 1: P.O. BOX 4725 CITY: SCOTTSDALE STATE: AZ ZIP: 85261 BUSINESS PHONE: 480-767-3607 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 480-767-3607 icarroll@fundingthegap.com icarroll@ftgadvisorsllc.com brobling@seccc.com 12-31-2021 Y FTG Advisors, LLC 84-2408501 867-02480 8901 E. Pima Center Parkway Suite 225 Scottsdale AZ 85258 602-955-4433 Y P.O. Box 4725 Scottsdale AZ 85261 fundingthegap.com/ftg-advisors NewAdd ftgadvisorsllc.com 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 Arizona Dept of Real Estate SA631019000 AZ December AZ 09-27-2018 N 1 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 Y Y N Other municipal advisor 1 Add Other municipal advisor Irene Carroll n/a Y N N N N N N N N N N N N Y 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, Chief Compliance Officer 09-27-2018 E Y 000000000 Irene Porras Carroll Principal, Member, Chief Compliance Officer 09-27-2018 E Y 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 Chief Compliance Officer 03-29-2022 N N N N N N N N Y Y Y N Y N N N N N N N N