Broker-Dealers on SEC Form D

Form Ds provide information on individual, unregistered securities offerings.

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Displaying 11-20 out of 40,531 results

Recipient	CRD	Primary Issuer	CIK	Filing Date	Form Type	Total Offering Amount	Total Amount Sold
MAXIM GROUP LLC	120708	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
MD GLOBAL PARTNERS, LLC	140988	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
SPIRE SECURITIES, LLC	144131	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
NBC SECURITIES, INC.	17870	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
NUTMEG SECURITIES, LLC	18975	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
JEFFERIES LLC	2347	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
B. RILEY WEALTH MANAGEMENT	2543	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
MACQUARIE CAPITAL (USA) INC.	36368	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
ARETE WEALTH MANAGEMENT, LLC	44856	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140
AVONDALE PARTNERS, LLC	46838	CAIS Third Point Partners LLC	1523897	10/23/2017	D/A	Indefinite	$99,990,140

40,531 Results

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