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RequirementsDevTeam2017-06-09T15:39:32+00:00

Requirements

Potential Investors must be accredited to invest in companies listed with TradeWinds. Federal securities laws define the term accredited investor in SEC Rule 501 of Regulation D as:

  • A bank, insurance company, registered investment company, business development company, or small business investment company
  • An employee benefit plan, within the meaning of the Employee Retirement Income Security Act, if a bank, insurance company, or registered invest ment adviser makes the investment decisions, or if the plan has total assets in excess of $5 million;
  • A charitable organization, corporation, or partnership with assets exceeding $5 million;
  • A director, executive officer, or general partner of the company selling the securities;
  • A business in which all the equity owners are accredited investors;
  • A natural person who has individual net worth, or joint net worth with the person’s spouse, that exceeds $1 million at the time of purchase, excluding the value of the primary residence of such person;
  • A natural person who income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year, or
  • A trust with assets in excess of $5 million, not formed to acquire the securities offered, whose purchases a sophisticated person makes.

We utilize an objective and independent third party that determines the Accredited.

Feel free to contact us if you have any questions.

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Disclosure Statement

Copyright 2018 | All Rights Reserved IMPORTANT DISCLOSURE: TWFGLLC.COM is a website operated by TradeWinds Financial Group, LLC. All securities related activity is conducted through LightPath Capital, LLC, a registered broker/dealer and member FINRA/SIPC. By accessing this website and any pages thereof. You agree to be bound by our terms of use and privacy policy . TWFGLLC.com is intended for use and access by accredited investors only. Company listings on this website are only suitable for accredited investors who are familiar with and willing to accept the high risk associated with private investments. Securities sol through private placements are not publicly traded are intended for investors who do not have a need for liquid investment. There can be no assurance the company valuation is accurate or in agreement with the market or industry valuations Additionally, investors may receive restricted stock that may be subject to holding period requirements. Companies seeking private placement investments tend to be in earlier stages of development and have not yet been fully tested in the public marketplace. Investing in private placements requires high risk tolerance, low liquidity concerns, and long-term commitments. Investors must be able to afford to lose their entire investment.
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