Form D · Other
DSC Trading, LLC
Pembroke Pines, FL · CIK 0001595379
Offering snapshot reported Aug 2, 2019 · SEC filing
- Reported sold
- $4.43M Offering amount: $5M
- Investors reported
- 52 Form D · investor count
- Minimum accepted
- $25K Reported outside-investor minimum
- First sale
- Mar 18, 2019 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors0 → 52
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 2, 2019 | Amendment | $4,426,910 | No comparison | 52 | SEC filing |
| Mar 20, 2019 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Jan 18, 2017 | Initial | $5,000,000 | No comparison | 17 | SEC filing |
| Feb 19, 2016 | Amendment | $3,300,000 | $525,000vs May 22, 2014 | 15 | SEC filing |
| May 22, 2014 | Initial | $1,500,000 | No comparison | 9 | SEC filing |
| May 22, 2014 | Initial | $2,775,000 | No comparison | 11 | SEC filing |
Offering details
- Securities
- Debt
- Exemptions
- 06c
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $180K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-335246
$4,426,910 sold as 506(b) offering.
2.0% of Loan participation for investors currently participating in Company indebtedness and 4.0% for participation by new investors. Up to 50% of such placement fees may be paid to Carofin, LLC for its assistance in the placement of the Notes.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Bruce V Roberts | 1489110 | Carofin, LLC · CRD 298717 |
| Bruce B Smith | 2332178 | Carolina Financial Securities, LLC · CRD 41970 |
| Jerome E Connollly | 1881584 | Carolina Financial Securities, LLC · CRD 1881584 |
| Phillip Nash Roberts | 6182908 | Carolina Financial Securities, LLC · CRD 41970 |
| Peter S Milhaupt | 728310 | Carolina Financial Securities, LLC · CRD 41970 |
| John W Stanier | 4811895 | Carolina Financial Securities, LLC · CRD 41970 |
Source: Form D, filed Aug 2, 2019. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| John Shepard | Executive |
| Jaime Nicole Shepard | Executive |
| Mark Wise | Executive |
| Janelle Wise | Executive |
Issuer details
Industry: Other (See others in industry)
Address:
21113 Johnson St. Unit 107
Pembroke Pines, FL, 33029
Pembroke Pines, FL, 33029