Form D · Investment Banking
DAWSON JAMES SECURITIES, INC.
Boca Raton, FL · CIK 0001279559
Offering snapshot reported Apr 15, 2019 · SEC filing
- Reported sold
- $100K Offering amount: $3M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 14, 2019 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 |
|---|---|---|---|---|---|
| Apr 15, 2019 | Initial | $100,000 | No comparison | 1 | SEC filing |
| Sep 25, 2017 | Initial | $350,000 | No comparison | 3 | SEC filing |
| May 23, 2013 | Initial | $350,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $5K
- Finders' fees
- $0
- Form D file number
- 021-337338
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Dawson James Securities, Inc. | 130645 |
Source: Form D, filed Apr 15, 2019. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No matching detailed fund disclosure was found in the latest imported ADV filings. This does not establish that the issuer has no adviser.
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 |
|---|---|
| R. Douglas Armstrong | Director |
| Thomas W. Hands | Director, Executive |
| Robert D. Keyser, Jr. | Director, Executive, Promoter |
| Donald Shek | Executive |
Issuer details
Industry: Investment Banking (See others in industry)
Address:
1 North Federal Highway 5 Th Floor
Boca Raton, FL, 33432
Phone: 561-391-5555
Boca Raton, FL, 33432
Phone: 561-391-5555