Form D · Other Banking and Financial Services
GILMAN CIOCIA, INC.
Poughkeepsie, NY · CIK 0000914142
Offering snapshot reported May 24, 2013 · SEC filing
- Reported sold
- Yet to sell Offering amount: $1.8M
- Investors reported
- 0 Form D · investor count
- Minimum accepted
- $10K Reported outside-investor minimum
- First sale
- Yet to occur As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 24, 2013 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Jul 31, 2012 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| May 2, 2012 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Nov 15, 2011 | Amendment | $1,250,000 | No comparison | 13 | SEC filing |
| Jul 13, 2011 | Amendment | Yet to sell | No comparison | 9 | SEC filing |
| Jun 10, 2011 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Jan 25, 2011 | Amendment | $700,000 | $100,000vs Dec 13, 2010 | 8 | SEC filing |
| Dec 13, 2010 | Amendment | $600,000 | No comparison | 7 | SEC filing |
| Nov 8, 2010 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Mar 29, 2010 | Amendment | $3,875,000 | $1,047,000vs Dec 16, 2009 | 47 | SEC filing |
| Feb 11, 2010 | Amendment | $3,783,000 | $955,000vs Dec 16, 2009 | 42 | SEC filing |
| Dec 16, 2009 | Amendment | $2,828,000 | $1,043,000vs Sep 3, 2009 | 28 | SEC filing |
| Sep 3, 2009 | Amendment | $1,785,000 | No comparison | 14 | SEC filing |
| Nov 3, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 19, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Debt
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $36K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-197036
Sales commissions are 2% of the amount sold.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| N/A | None | Prime Capital Services, Inc. · CRD 18334 |
Source: Form D, filed May 24, 2013. 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 |
|---|---|
| Maureen Abbate | Executive |
| James Ciocia | Director |
| Edward Cohen | Director |
| Carole Enisman | Executive |
| Ted Finkelstein | Executive |
| Karen Fisher | Executive |
| John Levy | Director |
| Nelson Obus | Director |
| Allan Page | Director |
| John Palma | Executive |
| Michael Ryan | Director, Executive |
| Frederick Wasserman | Director |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
11 Raymond Avenue
Poughkeepsie, NY, 12603
Poughkeepsie, NY, 12603