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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:42 AM ET

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Mark Vance

Named as an officer, director or promoter on SEC Form D filings · TX · Nov 3, 2008 → Sep 26, 2016

15deals (issuers)
$53.8Mreported sold
966investors
73Form D filings
2008–2016years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark Vance is listed as an executive officer and director on 73 SEC Form D filings by 15 issuers between Nov 2008 and Sep 2016. Largest by amount reported sold: Aztec X Oil & Gas Drilling Program (Houston, TX — oil and gas — 2009–2010; $12.7M reported sold to 271 investors), Aztec XI-B Oil & Gas LP/Aztec Energy LLC (Houston, TX — oil and gas — 2010–2011; $9.92M reported sold to 203 investors), Aztec XII-A Oil & Gas LP (Houston, TX — oil and gas — 2011–2012; $7.54M reported sold to 157 investors), Aztec XI-A Oil & Gas LP / Aztec Energy LLC (Houston, TX — oil and gas — 2010; $5.05M reported sold to 100 investors), Aztec Comanche A Oil & Gas LP/Aztec Energy LLC (Houston, TX — oil and gas — 2012–2013; $4.86M reported sold to 90 investors) and 10 more (all listed below).

What this means That is a lot of deals — 15 separate companies raised money with this person listed as executive officer and director, over about 8 years. Across those companies the filings report $53.8M sold in total.

Listed alongside Kenneth Lehrer (70 shared filings), Larry Hornbrook (70 shared filings), Ariane Cox (66 shared filings), Dayton Wheeler (66 shared filings), Waylan Johnson (60 shared filings) and 46 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Mark. Each name links to their own page.

12 of the issuers belong to the sponsor group Aztec (12 issuers, $47.8M reported sold, 2008–2013).

What this means A sponsor group is one team that sets up a new company for each deal. Aztec has 12 companies on file and $47.8M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 18 bankruptcy cases matching the name listed in Key records below.

What this means 18 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared the newest 50 of 73 public filings for Mark Vance and found 8 differences, 4 worth asking the sponsor about: Bankruptcy case: Mark Vance; 28% of the money raised went to insiders; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Mark Vance has not run yet — it is joining a line of 39,137 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:17 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Mark Vance..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

18 cases: 1 open, 17 closed (disposition not in docket feed)

Mark J Vance and Nicolle D Vance open
United States Bankruptcy Court, D. Kansas · No. 19-11860 · Filed Sep 27, 2019
Role of Mark J Vance and Nicolle D Vance: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in KS (not a filing state)
Mark T Vance and Amanda J Vance closed
United States Bankruptcy Court, E.D. Kentucky · No. 13-50522 · Filed Mar 4, 2013 · Closed Mar 10, 2014
Role of Mark T Vance and Amanda J Vance: Debtor · Outcome: Case closed 2014-03-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in KY (not a filing state)
Mark E.K Vance closed
United States Bankruptcy Court, N.D. Indiana · No. 13-10467 · Filed Mar 1, 2013 · Closed Sep 17, 2015
Role of Mark E.K Vance: Debtor · Outcome: Case closed 2015-09-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in IN (not a filing state)
Mark Vance and Carrie Vance closed
United States Bankruptcy Court, W.D. Arkansas · No. 2:12-bk-72857 · Filed Jul 25, 2012 · Closed Mar 14, 2018
Role of Mark Vance and Carrie Vance: Debtor · Outcome: Case closed 2018-03-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in AR (not a filing state)
Mark W. Vance closed
United States Bankruptcy Court, N.D. Ohio · No. 12-40786 · Filed Apr 3, 2012 · Closed Aug 3, 2012
Role of Mark W. Vance: Debtor · Outcome: Case closed 2012-08-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in OH (not a filing state)
Mark A. Vance closed
United States Bankruptcy Court, N.D. Alabama · No. 12-40236 · Filed Feb 8, 2012 · Closed Jan 11, 2013
Role of Mark A. Vance: Debtor · Outcome: Case closed 2013-01-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in AL (not a filing state)
Mark A Vance closed
United States Bankruptcy Court, S.D. Ohio · No. 2:10-bk-59704 · Filed Aug 12, 2010 · Closed Nov 10, 2015
Role of Mark A Vance: Debtor · Outcome: Case closed 2015-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in OH (not a filing state)
Mark A Vance closed
United States Bankruptcy Court, C.D. California · No. 2:05-bk-20153 · Filed May 5, 2005 · Closed Dec 9, 2005
Role of Mark A Vance: Debtor · Outcome: Case closed 2005-12-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in CA (not a filing state)
Mark A. Vance and Kathleen L. Vance closed
United States Bankruptcy Court, N.D. West Virginia · No. 2:04-bk-01714 · Filed May 13, 2004 · Closed Aug 20, 2004
Role of Mark A. Vance and Kathleen L. Vance: Debtor · Outcome: Case closed 2004-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in WV (not a filing state)
MARK H VANCE and DONNA V VANCE closed
United States Bankruptcy Court, D. South Carolina · No. 03-05936 · Filed May 15, 2003 · Closed Aug 26, 2003
Role of MARK H VANCE and DONNA: Plaintiff · Outcome: Case closed 2003-08-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in SC (not a filing state)
Mark S. Vance closed
United States Bankruptcy Court, W.D. Arkansas · No. 6:02-bk-73701 · Filed Jun 13, 2002 · Closed Oct 1, 2002
Role of Mark S. Vance: Debtor · Outcome: Case closed 2002-10-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in AR (not a filing state)
Mark W. Vance and Katherine K. Vance closed
United States Bankruptcy Court, D. Maryland · No. 01-23743 · Filed Nov 13, 2001 · Closed Feb 25, 2005
Role of Mark W. Vance and Katherine K. Vance: Debtor · Outcome: Case closed 2005-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in MD (not a filing state)
Mark Vance closed
United States Bankruptcy Court, S.D. Texas · No. 00-35670 · Filed Jun 19, 2000 · Closed Sep 22, 2000
Role of Mark Vance: Debtor · Outcome: Case closed 2000-09-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in the person's filing state (TX)
Mark E Vance and Sharon K Vance closed
United States Bankruptcy Court, E.D. Kentucky · No. 98-70148 · Filed Feb 19, 1998 · Closed Aug 21, 1998
Role of Mark E Vance and Sharon K Vance: Debtor · Outcome: Case closed 1998-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in KY (not a filing state)
Mark A. Vance and Rhonda K. Vance closed
United States Bankruptcy Court, N.D. Ohio · No. 95-32303 · Filed Sep 14, 1995 · Closed Mar 21, 1996
Role of Mark A. Vance and Rhonda K. Vance: Debtor · Outcome: Case closed 1996-03-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in OH (not a filing state)
Mark A. Vance and Kathleen L. Vance closed
United States Bankruptcy Court, N.D. West Virginia · No. 2:95-bk-20909 · Filed Aug 15, 1995 · Closed Nov 29, 1995
Role of Mark A. Vance and Kathleen L. Vance: Debtor · Outcome: Case closed 1995-11-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in WV (not a filing state)
Mark C. Vance and Kathleen E. Vance closed
United States Bankruptcy Court, D. Maryland · No. 95-53598 · Filed May 19, 1995 · Closed Sep 5, 1995
Role of Mark C. Vance and Kathleen E. Vance: Debtor · Outcome: Case closed 1995-09-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in MD (not a filing state)
MARK R. VANCE closed
United States Bankruptcy Court, N.D. Alabama · No. 92-01393 · Filed Feb 21, 1992 · Closed Jan 6, 1993
Role of MARK R. VANCE: Debtor · Outcome: Case closed 1993-01-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 46 federal dockets); court in AL (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:17 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

8 differences found between the filings for Mark Vance — 4 worth asking about (compared the newest 50 of 73 filings on Oct 24, 2026; older filings not covered)

Worth asking · Jun 19, 2000 – Sep 22, 2000

Bankruptcy case: Mark Vance — filed Jun 19, 2000

United States Bankruptcy Court, S.D. Texas docket "Mark Vance" filed Jun 19, 2000, closed Sep 22, 2000. Mark Vance is listed as Debtor. Our match estimate: 40%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Worth asking · Sep 26, 2016

28% of the money raised went to insiders — Optech4D, Inc.

The Sep 26, 2016 Form D reports $1,800,000 sold and $500,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate).

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Sources
Worth asking · Jun 1, 2011 – Jul 18, 2013

Mark Vance appears on 8 deals that stopped filing before reaching their target

Aztec Comanche C Oil & Gas LP/Aztec Energy LLC (last filing Jul 18, 2013; $0 sold of $50,000,000); Aztec Comanche B Oil & Gas LP/Aztec Energy LLC (last filing May 31, 2013; $765,000 sold of $50,000,000); Aztec Comanche A Oil & Gas LP/Aztec Energy LLC (last filing Jan 18, 2013; $4,855,000 sold of $50,000,000); Aztec XII-C Oil & Gas LP/Aztec Energy LLC (last filing Sep 6, 2012; $505,000 sold of $50,000,000); Aztec XII-B Oil & Gas LP/Aztec Energy LLC (last filing Jun 5, 2012; $2,850,000 sold of $50,000,000); Aztec XII-A Oil & Gas LP (last filing Jan 4, 2012; $7,545,000 sold of $50,000,000); and 2 more. Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Sources
Worth asking · Oct 25, 2011 – Sep 26, 2016

14 Form Ds were filed more than 15 days after the first sale

Form D filed 255 days after the first sale — Optech4D, Inc. · Form D filed 126 days after the first sale — Aztec XII-B Oil & Gas LP/Aztec Energy LLC · Form D filed 125 days after the first sale — Aztec XII-B Oil & Gas LP/Aztec Energy LLC · Form D filed 111 days after the first sale — Aztec XII-B Oil & Gas LP/Aztec Energy LLC · Form D filed 78 days after the first sale — Aztec XII-B Oil & Gas LP/Aztec Energy LLC · and 9 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Sources
Note · Jan 31, 2011 – Sep 26, 2016

21 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Optech4D, Inc. (latest filing Sep 26, 2016) · No amendment in the last 12 months on an offering that may still be open — Aztec Comanche B Oil & Gas LP/Aztec Energy LLC (latest filing May 31, 2013) · No amendment in the last 12 months on an offering that may still be open — Aztec Comanche A Oil & Gas LP/Aztec Energy LLC (latest filing Jan 18, 2013) · No amendment in the last 12 months on an offering that may still be open — Aztec XII-C Oil & Gas LP/Aztec Energy LLC (latest filing Sep 6, 2012) · No amendment in the last 12 months on an offering that may still be open — Aztec XII-B Oil & Gas LP/Aztec Energy LLC (latest filing Jun 5, 2012) · and 16 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Sources
Note · Jan 2, 2013 – Feb 8, 2013

Offering amount changed between filings — Aztec Comanche B Oil & Gas LP/Aztec Energy LLC

The Jan 2, 2013 filing says $50,000 offered; the Feb 8, 2013 Form D/A says $50,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Sources
Note · Aug 31, 2012 – Dec 19, 2012

Reported revenue range changed between filings — Aztec Comanche A Oil & Gas LP/Aztec Energy LLC

"No Revenues" (Aug 31, 2012); then "$1 - $1,000,000" (Dec 19, 2012).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Sources
Note · Jun 6, 2012 – Aug 6, 2012

Reported revenue range changed between filings — Aztec XII-C Oil & Gas LP/Aztec Energy LLC

"No Revenues" (Jun 6, 2012); then "$1 - $1,000,000" (Aug 6, 2012).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. We compared the newest 50 of 73 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

26 of 32 offerings report sales commissions totalling $13,869,917; 1 reports finder's fees totalling $461,000; 2 report proceeds to related persons totalling $22,413,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Sep 26, 2016 D
Optech4D, Inc.
File 021-271263
$0$0$500,000 (est.)None listed on this filingEDGAR ↗
Jul 18, 2013 D/A
Aztec Comanche C Oil & Gas LP/Aztec Energy LLC
File 021-199169
$0$0$0None listed on this filingEDGAR ↗
May 31, 2013 D/A
Aztec Comanche B Oil & Gas LP/Aztec Energy LLC
File 021-189233
$68,850 (est.)$0$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Ray Reese BrokerCheck CRD 1694620 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)

William Brooks BrokerCheck CRD 4856808 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Thomas W. Haarmann BrokerCheck CRD 4181416 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Cathy Brown BrokerCheck CRD 1332036 ↗
via Independent Financial Group, LLC (CRD 7717 ↗)

William Brooks BrokerCheck CRD 4856808 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)
EDGAR ↗
Jan 18, 2013 D/A
Aztec Comanche A Oil & Gas LP/Aztec Energy LLC
File 021-183503
$436,950 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 035567 ↗)

Mike Reedy BrokerCheck CRD 3114264 ↗
via Calton & Associates (CRD 20999 ↗)

George Delbaggio BrokerCheck CRD 2822030 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

James Danovich BrokerCheck CRD 2782748 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)

Damian Dering BrokerCheck CRD 2854253 ↗
via Independent Financial Group, LLC (CRD 7717 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group, LLC (CRD 7717 ↗)

Joseph J Massaro BrokerCheck CRD 2593837 ↗
via Money Concepts Capital Corp (CRD 12963 ↗)

Clint Gharib BrokerCheck CRD 2070991 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Donald Graves BrokerCheck CRD 2495633 ↗
via Money Concepts Capital Corp (CRD 12963 ↗)

Ray Resse BrokerCheck CRD 1694620 ↗
via Money Concepts Capital Corp (CRD 12963 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Todd Condiff BrokerCheck CRD 5193760 ↗
via 1792 Securities, LLC (CRD 146048 ↗)

Scott Mrozek BrokerCheck CRD 2410838 ↗
via Financial West Group (CRD 16668 ↗)

Steve Vallender BrokerCheck CRD 4667608 ↗
via Financial West Group (CRD 16668 ↗)

James Conaway BrokerCheck CRD 1920946 ↗
via JP Morgan & Company, LLC (CRD 43177 ↗)

Jamess Greggory Coughlan BrokerCheck CRD 4587070 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Brent Turner BrokerCheck CRD 2429805 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

William Gould III BrokerCheck CRD 3166082 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Christopher J. Passero BrokerCheck CRD 2517681 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)
EDGAR ↗
Sep 6, 2012 D/A
Aztec XII-C Oil & Gas LP/Aztec Energy LLC
File 021-179317
$45,450 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 035567 ↗)

James Danovich BrokerCheck CRD 2782748 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)
EDGAR ↗
Jun 5, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-179290
$256,500 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Jonathan Taylor BrokerCheck CRD 2161627 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Scott L. Olson BrokerCheck CRD 711256 ↗
via Merrimac Corporate Securities, Inc. (CRD 35463 ↗)

Damian Dering BrokerCheck CRD 2854253 ↗
via Independent Financial Group (CRD 7717 ↗)

Mark Rupp BrokerCheck CRD 5135861 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Thomas W. Haarmann BrokerCheck CRD 4181416 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group (CRD 7717 ↗)
EDGAR ↗
Jun 4, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-179174
$245,250 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Jonathan Taylor BrokerCheck CRD 2161627 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Scott L. Olson BrokerCheck CRD 711256 ↗
via Merrimac Corporate Securities, Inc. (CRD 35463 ↗)

Damian Dering BrokerCheck CRD 2854253 ↗
via Independent Financial Group (CRD 7717 ↗)

Mark Rupp BrokerCheck CRD 5135861 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Thomas W. Haarmann BrokerCheck CRD 4181416 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)
EDGAR ↗
May 21, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-178561
$225,000 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Jonathan Taylor BrokerCheck CRD 2161627 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Scott L. Olson BrokerCheck CRD 711256 ↗
via Merrimac Corporate Securities, Inc. (CRD 35463 ↗)

Damian Dering BrokerCheck CRD 2854253 ↗
via Independent Financial Group (CRD 7717 ↗)
EDGAR ↗
Apr 18, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-176883
$189,000 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Jonathan Taylor BrokerCheck CRD 2161627 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)
EDGAR ↗
Mar 8, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-174537
$166,500 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)
EDGAR ↗
Mar 8, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-174539
$166,500 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)
EDGAR ↗
Mar 8, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-174582
$166,500 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)
EDGAR ↗
Feb 16, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-173553
$153,000 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbour Light Securities (CRD 130227 ↗)

Will R. Freeman BrokerCheck CRD 213834 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)
EDGAR ↗
Feb 8, 2012 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-173045
$13,500 (est.)$0 (est.)$0Michael Scavullo BrokerCheck CRD 2537103 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)
EDGAR ↗
Jan 4, 2012 D
Aztec XII-A Oil & Gas LP
File 021-171170
$679,050 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)

John Lee BrokerCheck CRD 2948622 ↗
via Independent Financial Group (CRD 7717 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group (CRD 7717 ↗)

Donald Deeway BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Ellen Booney BrokerCheck CRD 5980306 ↗
via Harbor Light Securities (CRD 130227 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbor Light Securities (CRD 130227 ↗)

John R. Poolman BrokerCheck CRD 735316 ↗
via Midamerica Financial Services, Inc. (CRD 47351 ↗)

Steven Kraut BrokerCheck CRD 1091154 ↗
via Independent Financial Group (CRD 7717 ↗)

Terry Wheeler BrokerCheck CRD 2163092 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

James Greggory Coughlan BrokerCheck CRD 4587070 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Bowers BrokerCheck CRD 27270 ↗
via McDermott Investment Services, LLC (CRD 154926 ↗)

Stephen Molesky BrokerCheck CRD 1109839 ↗
via Kalos Capital (CRD 44337 ↗)

Todd Condiff BrokerCheck CRD 5193760 ↗
via 1792 Securities, LLC (CRD 146048 ↗)

Christopher J. Passero BrokerCheck CRD 2517681 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)

Scott Mrozek BrokerCheck CRD 2410838 ↗
via Financial West Group (CRD 16668 ↗)

Steve Vallender BrokerCheck CRD 4667608 ↗
via Financial West Group (CRD 16668 ↗)

Stuart Valentine BrokerCheck CRD 1646981 ↗
via Financial West Group (CRD 16668 ↗)

Michael Woloshin BrokerCheck CRD 5188244 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Jeffrey Ingersoll BrokerCheck CRD 868739 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)
EDGAR ↗
Dec 23, 2011 D
Aztec XII-B Oil & Gas LP/Aztec Energy LLC
File 021-170654
$0$0$0None listed on this filingEDGAR ↗
Dec 22, 2011 D
Aztec XII-A Oil & Gas LP
File 021-170568
$279,000 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)

John Lee BrokerCheck CRD 2948622 ↗
via Independent Financial Group (CRD 7717 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group (CRD 7717 ↗)

Donald Deeway BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Ellen Booney BrokerCheck CRD 5980306 ↗
via Harbor Light Securities (CRD 130227 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbor Light Securities (CRD 130227 ↗)

John R. Poolman BrokerCheck CRD 735316 ↗
via Midamerica Financial Services, Inc. (CRD 47351 ↗)

Steven Kraut BrokerCheck CRD 1091154 ↗
via Independent Financial Group (CRD 7717 ↗)

Terry Wheeler BrokerCheck CRD 2163092 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

James Greggory Coughlan BrokerCheck CRD 4587070 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)

Charles Bowers BrokerCheck CRD 27270 ↗
via McDermott Investment Services, LLC (CRD 154926 ↗)
EDGAR ↗
Dec 20, 2011 D
Aztec XII-A Oil & Gas LP
File 021-170363
$203,400 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)

John Lee BrokerCheck CRD 2948622 ↗
via Independent Financial Group (CRD 7717 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group (CRD 7717 ↗)

Donald Deeway BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Ellen Booney BrokerCheck CRD 5980306 ↗
via Harbor Light Securities (CRD 130227 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbor Light Securities (CRD 130227 ↗)

John R. Poolman BrokerCheck CRD 735316 ↗
via Midamerica Financial Services, Inc. (CRD 47351 ↗)

Steven Kraut BrokerCheck CRD 1091154 ↗
via Independent Financial Group (CRD 7717 ↗)

Terry Wheeler BrokerCheck CRD 2163092 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

James Greggory Coughlan BrokerCheck CRD 4587070 ↗
via Wilbanks Securities, Inc. (CRD 40673 ↗)
EDGAR ↗
Dec 15, 2011 D
Aztec XII-A Oil & Gas LP
File 021-170113
$153,000 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)

John Lee BrokerCheck CRD 2948622 ↗
via Independent Financial Group (CRD 7717 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group (CRD 7717 ↗)

Donald Deeway BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Ellen Booney BrokerCheck CRD 5980306 ↗
via Harbor Light Securities (CRD 130227 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbor Light Securities (CRD 130227 ↗)

John R. Poolman BrokerCheck CRD 735316 ↗
via Midamerica Financial Services, Inc. (CRD 47351 ↗)

Steven Kraut BrokerCheck CRD 1091154 ↗
via Independent Financial Group (CRD 7717 ↗)

Terry Wheeler BrokerCheck CRD 2163092 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)
EDGAR ↗
Dec 5, 2011 D
Aztec XII-A Oil & Gas LP
File 021-169595
$72,900 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)

John Lee BrokerCheck CRD 2948622 ↗
via Independent Financial Group (CRD 7717 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group (CRD 7717 ↗)

Donald Deeway BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Ellen Booney BrokerCheck CRD 5980306 ↗
via Harbor Light Securities (CRD 130227 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbor Light Securities (CRD 130227 ↗)

John R. Poolman BrokerCheck CRD 735316 ↗
via Midamerica Financial Services, Inc. (CRD 47351 ↗)

Steven Kraut BrokerCheck CRD 1091154 ↗
via Independent Financial Group (CRD 7717 ↗)
EDGAR ↗
Nov 16, 2011 D
Aztec XII-A Oil & Gas LP
File 021-168768
$34,650 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)

John Lee BrokerCheck CRD 2948622 ↗
via Independent Financial Group (CRD 7717 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Independent Financial Group (CRD 7717 ↗)
EDGAR ↗
Nov 8, 2011 D
Aztec XII-A Oil & Gas LP
File 021-168401
$15,750 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)
EDGAR ↗
Nov 1, 2011 D
Aztec XII-A Oil & Gas LP
File 021-168064
$4,500 (est.)$0 (est.)$0Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)
EDGAR ↗
Sep 9, 2011 D
Aztec XII-A Oil & Gas LP
File 021-165570
$0$0$0None listed on this filingEDGAR ↗
Aug 30, 2011 D/A
Aztec XI-D Oil & Gas LP/ Aztec Energy LLC
File 021-161004
$132,750 (est.)$0 (est.)$0Terry Wheeler BrokerCheck CRD 2163092 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

George Gorman BrokerCheck CRD 1369839 ↗
via Financial West Group (CRD 16668 ↗)

Leigh Zachary BrokerCheck CRD 2508360 ↗
via IMS Securities, Inc (CRD 35567 ↗)

Steven Kraut BrokerCheck CRD 1091154 ↗
via Independent Financial Group (CRD 7717 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 035567 ↗)

Donald DeWaay BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Kenneth Harter BrokerCheck CRD 1448027 ↗
via Calton & Associates (CRD 20999 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via Allied Beacon Partners (CRD 46227 ↗)

John Redfearn BrokerCheck CRD 2771876 ↗
via Allied Beacon Partners (CRD 46227 ↗)

Michael Woloshin BrokerCheck CRD 732640 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

John W. Bales JR BrokerCheck CRD 1820734 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Martin Eno BrokerCheck CRD 4136144 ↗
via Money Concepts Capital Corp (CRD 12963 ↗)
EDGAR ↗
Jun 1, 2011 D/A
Aztec XI-C Oil & Gas LP / Aztec Energy LLC
File 021-154437
$190,000 (est.)$0 (est.)$0Jason Erickson BrokerCheck CRD 2527905 ↗
via Capital Financial Services (CRD 8408 ↗)

Martin Eno BrokerCheck CRD 4136144 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)

Jason Hawke BrokerCheck CRD 4177415 ↗
via J.P. TURNER & COMPANY, L.L.C. (CRD 43177 ↗)

Joshua E. Cross BrokerCheck CRD 4522751 ↗
via DEWAAY FINANCIAL NETWORK, LLC (CRD 30767 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates, Inc. (CRD 20999 ↗)

Jeffery Schade BrokerCheck CRD 2263323 ↗
via J.P .Turner & Company, L.L.C. (CRD 43177 ↗)

Jeffrey Rachlin BrokerCheck CRD 823547 ↗
via Alternative Wealth Strategies, Inc (CRD 130933 ↗)

Michael Welch BrokerCheck CRD 4215661 ↗
via Kalos Capital, Inc (CRD 44337 ↗)

Brent Turner BrokerCheck CRD 2429805 ↗
via JP Turner & Company, L.L.C. (CRD 43177 ↗)

Stephen Molesky BrokerCheck CRD 1109839 ↗
via Kalos Capital, Inc. (CRD 44337 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbor Light Securities (CRD 130227 ↗)

Timothy J. Sherer BrokerCheck CRD 833618 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)

Donald DeWaay BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Thomas W. Haarmann BrokerCheck CRD 4181416 ↗
via Money Concepts Capital Corp. (CRD 12963 ↗)

Donald DeWaay BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC, Charles Weigert (CRD 30767 ↗)

Richard Shields BrokerCheck CRD 1014307 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)
EDGAR ↗
Jan 7, 2011 D/A
Aztec XI-B Oil & Gas LP/Aztec Energy LLC
File 021-150664
$892,710 (est.)$0 (est.)$0Frank Currie BrokerCheck CRD 1207937 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Jeffrey R. Nesseth BrokerCheck CRD 1983482 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Steve Barton BrokerCheck CRD 2788138 ↗
via QA3 Financial (CRD 14754 ↗)

Don DeWaay BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, Inc. (CRD 30767 ↗)

Kristopher F. Etter BrokerCheck CRD 4562123 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Oliver B. Williamson BrokerCheck CRD 4642029 ↗
via Calton & Associates, Inc. (CRD 20999 ↗)

Thomas M. Hille BrokerCheck CRD 3070017 ↗
via WFP Securities (CRD 35098 ↗)

James O. Conaway BrokerCheck CRD 1920946 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Tom D. English BrokerCheck CRD 2459450 ↗
via WFP Securities (CRD 35098 ↗)

David Gleeson BrokerCheck CRD 2918661 ↗
via QA3 Financial (CRD 14754 ↗)

W. Aubrey Morrow BrokerCheck CRD 836500 ↗
via Independent Financial Group (CRD 7717 ↗)

Tom Rehberger BrokerCheck CRD 1493001 ↗
via Nelson Reid (CRD 45503 ↗)

Todd Condiff BrokerCheck CRD 5193760 ↗
via Heritage Financial (CRD 133019 ↗)

Tim Sherer BrokerCheck CRD 833618 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Terry Wheeler BrokerCheck CRD 2163092 ↗
via QA3 Financial (CRD 14754 ↗)

Steven Orr BrokerCheck CRD 1583467 ↗
via DeWaay Financial Network (CRD 30767 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities (CRD 35567 ↗)

Stephen Scheller BrokerCheck CRD 1732978 ↗
via Money Concepts (CRD 12963 ↗)

Stacey Rognon BrokerCheck CRD 1898975 ↗
via IMS Securities (CRD 35567 ↗)

Joshua Patterson BrokerCheck CRD 3077302 ↗
via IMS Securities (CRD 35567 ↗)

Scott Reisenweaver BrokerCheck CRD 2485345 ↗
via QA3 Financial (CRD 14754 ↗)

Scott Mrozek BrokerCheck CRD 2410838 ↗
via Financial West (CRD 16668 ↗)

Scot Landborg BrokerCheck CRD 4555602 ↗
via QA3 Financial (CRD 14754 ↗)

Aaron Brodt BrokerCheck CRD 5017914 ↗
via Meridian United Capital (CRD 122924 ↗)

Antonio Taddeo BrokerCheck CRD 5110448 ↗
via Alternative Wealth Strategies (CRD 130933 ↗)

James Reardon BrokerCheck CRD 2309779 ↗
via Alternative Wealth Strategies (CRD 130933 ↗)

Jeff Rachlin BrokerCheck CRD 823547 ↗
via Alternative Wealth Strategies (CRD 130933 ↗)

Anthony Musto BrokerCheck CRD 2474439 ↗
via Calton & Associates (CRD 20999 ↗)

Eliot Rosenberg BrokerCheck CRD 1056584 ↗
via Calton & Associates (CRD 20999 ↗)

Howard Kaplan BrokerCheck CRD 1171182 ↗
via Calton & Associates (CRD 20999 ↗)

Michael Reedy BrokerCheck CRD 3114264 ↗
via Calton & Associates (CRD 20999 ↗)

Phillip Couture BrokerCheck CRD 734399 ↗
via Calton & Associates (CRD 20999 ↗)

Phillip King BrokerCheck CRD 1839137 ↗
via Calton & Associates (CRD 20999 ↗)

Jason Erickson BrokerCheck CRD 2527905 ↗
via Capital Financial Services (CRD 8408 ↗)

Robert Scullen BrokerCheck CRD 807388 ↗
via Capital Financial Services (CRD 8408 ↗)

Al Vanderlaan BrokerCheck CRD 1172406 ↗
via Capwest Securities (CRD 30002 ↗)

Joshua Cross BrokerCheck CRD 4522751 ↗
via DeWaay Financial (CRD 30767 ↗)

Ronald Melanson BrokerCheck CRD 331467 ↗
via DeWaay Financial (CRD 30767 ↗)

Hunter Brownlie BrokerCheck CRD 2349976 ↗
via Financial West (CRD 16668 ↗)

Joseph Merback BrokerCheck CRD 2156180 ↗
via Financial West (CRD 16668 ↗)

Dean Harvey BrokerCheck CRD 3076399 ↗
via IMS Securities (CRD 35567 ↗)

John Bales BrokerCheck CRD 1820734 ↗
via IMS Securities (CRD 35567 ↗)

John Treadway Brogdon BrokerCheck CRD 1450806 ↗
via IMS Securities (CRD 35567 ↗)

Leigh Zachary BrokerCheck CRD 2508360 ↗
via IMS Securities (CRD 35567 ↗)

Nigel Bowman BrokerCheck CRD 2022439 ↗
via IMS Securities (CRD 35567 ↗)

Patrick Cruickshank BrokerCheck CRD 4214868 ↗
via IMS Securities (CRD 35567 ↗)

Damian Dering BrokerCheck CRD 2854253 ↗
via Independent Financial Group (CRD 7717 ↗)

Peter McNeil BrokerCheck CRD 4378567 ↗
via Independent Financial Group (CRD 7717 ↗)

Anthony Mastroianni BrokerCheck CRD 2151249 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Anthony Mowrer BrokerCheck CRD 1947261 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Clint Gharib BrokerCheck CRD 2070991 ↗
via J.P. Turner & Company (CRD 43177 ↗)

David Johnson BrokerCheck CRD 1010443 ↗
via J.P. Turner & Company (CRD 43177 ↗)

G. Russell Conrad BrokerCheck CRD 2746778 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Jason Hawke BrokerCheck CRD 4177415 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Jeffrey Gove BrokerCheck CRD 5490359 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Richard Stocker BrokerCheck CRD 2573644 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Royce Running BrokerCheck CRD 5202198 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Michael Welch BrokerCheck CRD 4215661 ↗
via Kalos Capital (CRD 44337 ↗)

Robert Tweed BrokerCheck CRD 2339324 ↗
via MAM Securities (CRD 124620 ↗)

Alan Schryer BrokerCheck CRD 1847282 ↗
via Money Concepts (CRD 12963 ↗)

Christopher Passero BrokerCheck CRD 2517681 ↗
via Money Concepts (CRD 12963 ↗)

Craig Sutherland BrokerCheck CRD 2001873 ↗
via Money Concepts (CRD 12963 ↗)

Errol Mathieu BrokerCheck CRD 4483259 ↗
via Money Concepts (CRD 12963 ↗)

James Danovich BrokerCheck CRD 2782748 ↗
via Money Concepts (CRD 12963 ↗)

Jason Gaylor BrokerCheck CRD 5643268 ↗
via Money Concepts (CRD 12963 ↗)

Keith Offel BrokerCheck CRD 2570946 ↗
via Money Concepts (CRD 12963 ↗)

Kelvin Bishop BrokerCheck CRD 5148999 ↗
via Money Concepts (CRD 12963 ↗)

Edward Scro BrokerCheck CRD 2821985 ↗
via Nelson Reid (CRD 45503 ↗)

Matthew Hannan BrokerCheck CRD 4852358 ↗
via Nelson Reid (CRD 45503 ↗)

Brent Turner BrokerCheck CRD 2429805 ↗
via QA3 Financial (CRD 14754 ↗)

Frank Norton BrokerCheck CRD 1069797 ↗
via QA3 Financial (CRD 14754 ↗)

Jeffrey Meyers BrokerCheck CRD 2192759 ↗
via QA3 Financial (CRD 14754 ↗)

Joseph Byerly BrokerCheck CRD 4187946 ↗
via QA3 Financial (CRD 14754 ↗)

Justin Irving BrokerCheck CRD 4083643 ↗
via QA3 Financial (CRD 14754 ↗)

Charles Bowers BrokerCheck CRD 27270 ↗
via Steven Falk (CRD 14297 ↗)

Peter Roe BrokerCheck CRD 2255241 ↗
via Veritrust Financial (CRD 106594 ↗)

John Naviaux BrokerCheck CRD 4895814 ↗
via WFP Securities (CRD 35098 ↗)

John Schooler BrokerCheck CRD 2368308 ↗
via WFP Securities (CRD 35098 ↗)
EDGAR ↗
Nov 16, 2010 D/A
Aztec XI-A Oil & Gas LP / Aztec Energy LLC
File 021-148255
$454,207 (est.)$0 (est.)$0Ron Lundy BrokerCheck CRD 4060961 ↗
via QA3 Financial (CRD 14754 ↗)

Don DeWaay BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, Inc. (CRD 30767 ↗)

Adam Hardin BrokerCheck CRD 5739850 ↗
via QA3 Financial (CRD 14754 ↗)

John Redfearn BrokerCheck CRD 2771876 ↗
via QA3 Financial (CRD 14754 ↗)

James Lockhart BrokerCheck CRD 4415115 ↗
via Harbor Light Securities, LLC (CRD 130227 ↗)

Josh Cross BrokerCheck CRD 4522751 ↗
via DeWaay Financial Network, Inc. (CRD 14754 ↗)

Stacey Rognon BrokerCheck CRD 1898975 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Joshua Patterson BrokerCheck CRD 3077302 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Frank Currie BrokerCheck CRD 1207937 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Thomas Karsten BrokerCheck CRD 2305465 ↗
via DeWaay Financial Network, Inc. (CRD 30767 ↗)

Jeffrey Paladini BrokerCheck CRD 4341198 ↗
via DeWaay Financial Network, Inc. (CRD 30767 ↗)

Curtis Sathre BrokerCheck CRD 2459115 ↗
via WFP Securities (CRD 35098 ↗)

Steve Barton BrokerCheck CRD 2788138 ↗
via QA3 Financial (CRD 14754 ↗)

Jeff Schade BrokerCheck CRD 2263323 ↗
via J.P. Turner & Company (CRD 43177 ↗)

Ronald Kerher BrokerCheck CRD 1012967 ↗
via Capital Financial Services, Inc. (CRD 8408 ↗)

Jeffrey R. Nesseth BrokerCheck CRD 1983482 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Terry D. Wheeler BrokerCheck CRD 2163092 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Alvin D. Hulse BrokerCheck CRD 3037276 ↗
via Steven L. Falk & Associates Inc. (CRD 14297 ↗)

Antonio A. Taddeo BrokerCheck CRD 5110448 ↗
via Alternative Wealth Strategies, Inc. (CRD 130933 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Lawrence W. Lambert BrokerCheck CRD 301059 ↗
via Capwest Securities, Inc. (CRD 30002 ↗)

Alfred S. Vanderlaan BrokerCheck CRD 1172406 ↗
via Capwest Securities, Inc. (CRD 30002 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc (CRD 35567 ↗)

Jack Halley BrokerCheck CRD 2130728 ↗
via Capwest Securities, Inc. (CRD 30002 ↗)

Brent Turner BrokerCheck CRD 2429805 ↗
via QA3 Financial (CRD 14754 ↗)

Tim Sherer BrokerCheck CRD 833618 ↗
via JP Turner & Company (CRD 43177 ↗)

Carl Worden III BrokerCheck CRD 3130121 ↗
via JP Turner & Company (CRD 43177 ↗)

Leigh Zachary BrokerCheck CRD 2508360 ↗
via IMS Securities, Inc (CRD 35567 ↗)

John Bales BrokerCheck CRD 1820734 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Keith Herman BrokerCheck CRD 2322605 ↗
via Alternative Wealth Strategies, Inc. (CRD 130933 ↗)

Brent Collins BrokerCheck CRD 4915000 ↗
via DeWaay Financial (CRD 30767 ↗)

Dean Harvey BrokerCheck CRD 3076399 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Anthony Mowrer BrokerCheck CRD 1947261 ↗
via JP Turner & Company (CRD 43177 ↗)

William Laseter BrokerCheck CRD 1086701 ↗
via JP Turner & Company (CRD 43177 ↗)

G. Russell Conrad BrokerCheck CRD 2746778 ↗
via JP Turner & Company (CRD 43177 ↗)

Richard Stocker BrokerCheck CRD 2573644 ↗
via JP Turner & Company (CRD 43177 ↗)
EDGAR ↗
Sep 23, 2010 D/A
Aztec X Oil & Gas Drilling Program
File 021-134906
$6,000,000 (est.)$0 (est.)$0Ray Kim BrokerCheck CRD 4446196 ↗
via Private Asset Group, Inc. (CRD 142541 ↗)

Al Vanderlaan BrokerCheck CRD 1172406 ↗
via Capwest Securities (CRD 30002 ↗)

Steve Barton BrokerCheck CRD 2788138 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Antonio Taddeo BrokerCheck CRD 5110448 ↗
via Alternative Wealth Strategies, Inc. (CRD 130933 ↗)

Patrick Cruickshank BrokerCheck CRD 4214868 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Joel Beyer BrokerCheck CRD 2515319 ↗
via QA3 Corp. (CRD 14754 ↗)

John Brogdon BrokerCheck CRD 1450806 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Steven Knowlton BrokerCheck CRD 4527446 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

David Gleeson BrokerCheck CRD 2918661 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Nigel Bowman BrokerCheck CRD 2022439 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Lawrence Lambert BrokerCheck CRD 301059 ↗
via Capwest Securities Inc. (CRD 30002 ↗)

Charles Rognon BrokerCheck CRD 816295 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Robert Themm BrokerCheck CRD 2886714 ↗
via Alternative Wealth Strategies, Inc. (CRD 130933 ↗)

Robert Davis BrokerCheck CRD 722322 ↗
via Calton & Associates, Inc. (CRD 20999 ↗)

Alan Lichtenstein BrokerCheck CRD 1877017 ↗
via Alternative Wealth Strategies, Inc. (CRD 130933 ↗)

Howard Kaplan BrokerCheck CRD 1171182 ↗
via Calton & Associates, Inc. (CRD 20999 ↗)

Oliver Williamson BrokerCheck CRD 4642029 ↗
via Calton & Associates, Inc. (CRD 20999 ↗)

Mark Markland BrokerCheck CRD 1487083 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Ron Lundy BrokerCheck CRD 4060961 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Terry Wheeler BrokerCheck CRD 2163092 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Jeff Nesseth BrokerCheck CRD 1983482 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Charles Bowers BrokerCheck CRD 27270 ↗
via Steven Falk & Associates, Inc (CRD 14297 ↗)

John Redfearn BrokerCheck CRD 2771876 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

James Gaul BrokerCheck CRD 218833 ↗
via Alternative Wealth Strategies, Inc. (CRD 130933 ↗)

Jeff Rachlin BrokerCheck CRD 823547 ↗
via Alternative Wealth Strategies, Inc. (CRD 130933 ↗)

John Bales BrokerCheck CRD 1820734 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

John Tyler BrokerCheck CRD 4272019 ↗
via Capwest Securities Inc. (CRD 30002 ↗)

Tom English BrokerCheck CRD 2459450 ↗
via WFP Securities (CRD 35098 ↗)

Nahum Daniels BrokerCheck CRD 1521504 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

David Leathers BrokerCheck CRD 2253342 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Jack Halley BrokerCheck CRD 2130728 ↗
via Capwest Securities Inc. (CRD 30002 ↗)

David Theis BrokerCheck CRD 1422471 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Michael Dougherty BrokerCheck CRD 2456707 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Robert Tweed BrokerCheck CRD 2339324 ↗
via Capwest Securities Inc. (CRD 30002 ↗)

John Klett BrokerCheck CRD 5307951 ↗
via Alternative Wealth Strategies, Inc (CRD 130933 ↗)

John Hannan BrokerCheck CRD 1372033 ↗
via Private Asset Group, Inc. (CRD 142541 ↗)

James Conaway BrokerCheck CRD 1920946 ↗
via 3 Financial Corp. (CRD 14754 ↗)

William Lance Tolbert BrokerCheck CRD 4927030 ↗
via Calton & Associates, Inc. (CRD 20999 ↗)

Jackie Wadsworth BrokerCheck CRD 2342163 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Michael Scavullo BrokerCheck CRD 2537103 ↗
via JP Turner & Company (CRD 43177 ↗)

William Laseter Jr BrokerCheck CRD 1086701 ↗
via JP Turner & Company (CRD 43177 ↗)

Joel Kamphis BrokerCheck CRD 1730775 ↗
via JP Turner & Company (CRD 43177 ↗)

Anthony Marcello BrokerCheck CRD 2844880 ↗
via JP Turner & Company (CRD 43177 ↗)

Bert Hermalink BrokerCheck CRD 243918 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Donald DeWaay BrokerCheck CRD 1297174 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Joshua Cross BrokerCheck CRD 4522751 ↗
via DeWaay Financial Network (CRD 30767 ↗)

Michael Roberts BrokerCheck CRD 4700058 ↗
via JP Turner & Company (CRD 43177 ↗)

Brenton William Collins BrokerCheck CRD 4915000 ↗
via DeWaay Financial Network (CRD 30767 ↗)

Gilbert Russell Conrad BrokerCheck CRD 2746778 ↗
via JP Turner & Company (CRD 43177 ↗)

Charles Fischer BrokerCheck CRD 1186289 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Guiseppi Morabito BrokerCheck CRD 4873700 ↗
via JP Turner & Company (CRD 43177 ↗)

Scott Reisenweaver BrokerCheck CRD 2485345 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Burke Richman BrokerCheck CRD 1023504 ↗
via JP Turner & Company (CRD 43177 ↗)

Jason Hawke BrokerCheck CRD 4177415 ↗
via JP Turner & Company (CRD 43177 ↗)

Kim Kopacka BrokerCheck CRD 3153396 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Brian Mohan BrokerCheck CRD 1549373 ↗
via Calton & Associates, Inc. (CRD 20999 ↗)

Chris Gammon BrokerCheck CRD 2354523 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Kenneth Laurence Agee BrokerCheck CRD 2768598 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Curtis Sathre BrokerCheck CRD 2459115 ↗
via WFP Securities (CRD 35098 ↗)

Trent Byerly BrokerCheck CRD 4187946 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Lee Hudson BrokerCheck CRD 2933460 ↗
via JP Turner & Company (CRD 43177 ↗)

Clint Gharib BrokerCheck CRD 2070991 ↗
via JP Turner & Company (CRD 43177 ↗)

Alvin D. Hulse BrokerCheck CRD 3037276 ↗
via Steven L. Falk & Associates, Inc. (CRD 14297 ↗)

Brent D. Turner BrokerCheck CRD 2429805 ↗
via QA3 Financial Corp. (CRD 14754 ↗)

Frank M. Currie BrokerCheck CRD 1207937 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Jeffrey J. Pridey BrokerCheck CRD 2136022 ↗
via Capwest Securities, Inc. (CRD 30002 ↗)

Stacey L. Rognon BrokerCheck CRD 1898975 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Joshua W. Patterson BrokerCheck CRD 3077302 ↗
via IMS Securities, Inc. (CRD 35567 ↗)

Thomas A. Karsten BrokerCheck CRD 2305465 ↗
via DeWaay Financial Network, LLC (CRD 30767 ↗)

Timothy J. Sherer BrokerCheck CRD 833618 ↗
via J.P. Turner & Company, L.L.C. (CRD 43177 ↗)

Ronald Kerher BrokerCheck CRD 1012967 ↗
via Capital Financial Services, Inc. (CRD 8408 ↗)

Jim Warren BrokerCheck CRD 4253846 ↗
via WFP Securities Corp. (CRD 35098 ↗)

Michael Woloshin BrokerCheck CRD 732640 ↗
via JP Turner & Company, LLC (CRD 43177 ↗)
EDGAR ↗
Jun 1, 2010 D
NetAmerica Alliance, LLC
File 021-142803
$0$0$0None listed on this filingEDGAR ↗
Dec 3, 2009 D
AZTEC OIL & GAS, INC.
File 021-124080
$2,625,000$461,000$21,913,000AFA Securities Group, LLC no CRD number reported
via AFA Financial Group, LLC.
EDGAR ↗
Dec 2, 2009 D
CHR SOLUTIONS INC
File 021-97975
$0$0$0 (est.)None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 15

Every issuer that named Mark Vance on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Other Technology

Optech4D, Inc.

Houston, TX · Sep 26, 2016
  • Sep 26, 2016 · D · $1,800,000 sold of $3,000,000 · 16 investors · min. $100,000 · role: Executive Officer EDGAR ↗

Raised $1.8M from 16 investors (60% of the $3M target) as of the latest filing. Mark is listed as executive officer.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Oil and Gas · group: Aztec

Aztec Comanche C Oil & Gas LP/Aztec Energy LLC

Houston, TX · Jul 8, 2013 → Jul 18, 2013 · 2 filings
  • Jul 18, 2013 · D/A · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jul 8, 2013 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as director on 2 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec Comanche B Oil & Gas LP/Aztec Energy LLC

Houston, TX · Jan 2, 2013 → May 31, 2013 · 8 filings
  • May 31, 2013 · D/A · $765,000 sold of $50,000,000 · 13 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • May 2, 2013 · D/A · $715,000 sold of $50,000,000 · 11 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Apr 16, 2013 · D/A · $665,000 sold of $50,000,000 · 9 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 29, 2013 · D/A · $465,000 sold of $50,000,000 · 7 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 6, 2013 · D/A · $240,000 sold of $50,000,000 · 3 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Feb 21, 2013 · D/A · $190,000 sold of $50,000,000 · 2 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Feb 8, 2013 · D/A · $90,000 sold of $50,000,000 · 1 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jan 2, 2013 · D · $0 sold of $50,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $765K from 13 investors (2% of the $50M target) as of the latest filing. Mark is listed as director on 8 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec Comanche A Oil & Gas LP/Aztec Energy LLC

Houston, TX · Aug 31, 2012 → Jan 18, 2013 · 3 filings
  • Jan 18, 2013 · D/A · $4,855,000 sold of $50,000,000 · 90 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 19, 2012 · D/A · $400,000 sold of $50,000,000 · 10 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Aug 31, 2012 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $4.86M from 90 investors (10% of the $50M target) as of the latest filing. Mark is listed as director on 3 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec XII-C Oil & Gas LP/Aztec Energy LLC

Houston, TX · Jun 6, 2012 → Sep 6, 2012 · 3 filings
  • Sep 6, 2012 · D/A · $505,000 sold of $50,000,000 · 9 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Aug 6, 2012 · D/A · $125,000 sold of $50,000,000 · 3 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jun 6, 2012 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $505K from 9 investors (1% of the $50M target) as of the latest filing. Mark is listed as director on 3 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec XII-B Oil & Gas LP/Aztec Energy LLC

Houston, TX · Dec 23, 2011 → Jun 5, 2012 · 10 filings
  • Jun 5, 2012 · D · $2,850,000 sold of $50,000,000 · 27 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jun 4, 2012 · D · $2,725,000 sold of $50,000,000 · 23 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • May 21, 2012 · D · $2,500,000 sold of $50,000,000 · 18 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Apr 18, 2012 · D · $2,100,000 sold of $50,000,000 · 10 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 8, 2012 · D · $1,850,000 sold of $50,000,000 · 6 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 8, 2012 · D · $1,850,000 sold of $50,000,000 · 6 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 8, 2012 · D · $1,850,000 sold of $50,000,000 · 6 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Feb 16, 2012 · D · $1,700,000 sold of $50,000,000 · 3 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Feb 8, 2012 · D · $150,000 sold of $50,000,000 · 1 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 23, 2011 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $2.85M from 27 investors (6% of the $50M target) as of the latest filing. Mark is listed as director on 10 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec XII-A Oil & Gas LP

Houston, TX · Sep 9, 2011 → Jan 4, 2012 · 9 filings
  • Jan 4, 2012 · D · $7,545,000 sold of $50,000,000 · 157 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 22, 2011 · D · $3,100,000 sold of $50,000,000 · 64 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 20, 2011 · D · $2,260,000 sold of $50,000,000 · 50 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 15, 2011 · D · $1,700,000 sold of $50,000,000 · 39 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 5, 2011 · D · $810,000 sold of $50,000,000 · 26 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Nov 16, 2011 · D · $385,000 sold of $50,000,000 · 8 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Nov 8, 2011 · D · $175,000 sold of $50,000,000 · 4 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Nov 1, 2011 · D · $50,000 sold of $50,000,000 · 1 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Sep 9, 2011 · D · $0 sold of Indefinite · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $7.54M from 157 investors (15% of the $50M target) as of the latest filing. Mark is listed as director on 9 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec XI-D Oil & Gas LP/ Aztec Energy LLC

Houston, TX · Jun 9, 2011 → Aug 30, 2011 · 6 filings
  • Aug 30, 2011 · D/A · $1,475,000 sold of $50,000,000 · 31 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Aug 22, 2011 · D/A · $550,000 sold of $50,000,000 · 13 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Aug 3, 2011 · D/A · $425,000 sold of $50,000,000 · 10 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jul 26, 2011 · D/A · $350,000 sold of $50,000,000 · 8 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jun 15, 2011 · D/A · $50,000 sold of $50,000,000 · 1 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jun 9, 2011 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $1.48M from 31 investors (3% of the $50M target) as of the latest filing. Mark is listed as director on 6 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec XI-C Oil & Gas LP / Aztec Energy LLC

Houston, TX · Jan 26, 2011 → Jun 1, 2011 · 12 filings
  • Jun 1, 2011 · D/A · $2,120,000 sold of $50,000,000 · 47 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • May 25, 2011 · D/A · $1,870,000 sold of $50,000,000 · 43 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • May 19, 2011 · D/A · $1,765,000 sold of $50,000,000 · 40 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Apr 12, 2011 · D/A · $895,000 sold of $50,000,000 · 22 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Apr 4, 2011 · D/A · $795,000 sold of $50,000,000 · 20 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 22, 2011 · D/A · $670,000 sold of $50,000,000 · 17 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 10, 2011 · D/A · $350,000 sold of $50,000,000 · 10 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 9, 2011 · D/A · $325,000 sold of $50,000,000 · 9 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Feb 17, 2011 · D/A · $150,000 sold of $50,000,000 · 4 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Feb 15, 2011 · D/A · $75,000 sold of $50,000,000 · 2 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Feb 4, 2011 · D/A · $40,000 sold of $50,000,000 · 1 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jan 26, 2011 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $2.12M from 47 investors (4% of the $50M target) as of the latest filing. Mark is listed as director on 12 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec XI-B Oil & Gas LP/Aztec Energy LLC

Houston, TX · Nov 17, 2010 → Jan 7, 2011 · 3 filings
  • Jan 7, 2011 · D/A · $9,919,000 sold of $50,000,000 · 203 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 23, 2010 · D/A · $525,000 sold of $50,000,000 · 12 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Nov 17, 2010 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $9.92M from 203 investors (20% of the $50M target) as of the latest filing. Mark is listed as director on 3 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec XI-A Oil & Gas LP / Aztec Energy LLC

Houston, TX · Sep 28, 2010 → Nov 16, 2010 · 5 filings
  • Nov 16, 2010 · D/A · $5,046,750 sold of $50,000,000 · 100 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Nov 12, 2010 · D/A · $1,960,000 sold of $50,000,000 · 40 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Nov 1, 2010 · D/A · $970,000 sold of $50,000,000 · 20 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Oct 14, 2010 · D/A · $250,000 sold of $50,000,000 · 6 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Sep 28, 2010 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $5.05M from 100 investors (10% of the $50M target) as of the latest filing. Mark is listed as director on 5 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

Aztec X Oil & Gas Drilling Program

Houston, TX · Oct 1, 2009 → Sep 23, 2010 · 7 filings
  • Sep 23, 2010 · D/A · $12,730,500 sold of $50,000,000 · 271 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Aug 2, 2010 · D/A · $9,065,500 sold of $50,000,000 · 196 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jun 14, 2010 · D/A · $7,765,500 sold of $50,000,000 · 167 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Jun 4, 2010 · D/A · $6,056,000 sold of $50,000,000 · 127 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Mar 18, 2010 · D/A · $4,653,000 sold of $50,000,000 · 87 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Dec 1, 2009 · D/A · $1,165,000 sold of $50,000,000 · 20 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗
  • Oct 1, 2009 · D · $25,000 sold of $50,000,000 · 1 investors · min. $50,000 · role: Director (Director of Aztec Oil & Gas, Inc.) EDGAR ↗

Raised $12.7M from 271 investors (25% of the $50M target) as of the latest filing. Mark is listed as director on 7 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Telecommunications

NetAmerica Alliance, LLC

Dallas, TX · Jun 1, 2010
  • Jun 1, 2010 · D · $0 sold of $5,010,000 · 0 investors · min. $105,000 · role: Executive Officer EDGAR ↗

Raised $4.13M from 1 investor (82% of the $5.01M target) as of the latest filing. Mark is listed as executive officer.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Oil and Gas · group: Aztec

AZTEC OIL & GAS, INC.

Houston, TX · Nov 3, 2008 → Dec 3, 2009 · 2 filings
  • Dec 3, 2009 · D · $0 sold of $25,000,000 · 0 investors · min. $50,000 · role: Director EDGAR ↗
  • Nov 3, 2008 · D · $0 sold of $50,000,000 · 0 investors · min. $50,000 · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as director on 2 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other

CHR SOLUTIONS INC

Houston, TX · Dec 2, 2009
  • Dec 2, 2009 · D · $24,999 sold of Indefinite · 1 investors · min. $5,000 · role: Executive Officer EDGAR ↗

Raised $25K from 1 investor as of the latest filing. Mark is listed as executive officer.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

People around Mark 40

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.

Management entity

Aztec Energy, LLC

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

Management entity

Aztec Oil & Gas, Inc.

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

KL
No photo found yet (own website and image search run after this page is viewed)
Person

Kenneth Lehrer

Director, Executive Officer · 70 shared filings (12 issuers)

Kenneth Lehrer is on 12 issuers in total — a repeat sponsor. Their page lists every one.

LH
No photo found yet (own website and image search run after this page is viewed)
Person

Larry Hornbrook

Executive Officer · 70 shared filings (12 issuers)

Larry Hornbrook is on 12 issuers in total — a repeat sponsor. Their page lists every one.

DW
No photo found yet (own website and image search run after this page is viewed)
Person

Dayton Wheeler

Director · 66 shared filings (11 issuers)

Dayton Wheeler is on 11 issuers in total — a repeat sponsor. Their page lists every one.

AC
No photo found yet (own website and image search run after this page is viewed)
Person

Ariane Cox

Executive Officer · 66 shared filings (11 issuers)

Ariane Cox is on 11 issuers in total — a repeat sponsor. Their page lists every one.

WJ
No photo found yet (own website and image search run after this page is viewed)
Person

Waylan Johnson

Executive Officer · 60 shared filings (10 issuers) · also on 4 other issuers

Waylan Johnson is on 14 issuers in total — a repeat sponsor. Their page lists every one.

FF
No photo found yet (own website and image search run after this page is viewed)
Person

Franklin Fisher

Executive Officer, Director · 4 shared filings (2 issuers)

Listed on the same filings as Mark Vance. Their page shows their other deals.

JT
No photo found yet (own website and image search run after this page is viewed)
Person

James Taylor

Executive Officer, Director, Promoter · 3 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Mark Vance. Their page shows their other deals.

KP
No photo found yet (own website and image search run after this page is viewed)
Person

Kathryn Parks

Executive Officer · 3 shared filings (2 issuers)

Listed on the same filings as Mark Vance. Their page shows their other deals.

RH
No photo found yet (own website and image search run after this page is viewed)
Person

Roger Hutton

Executive Officer, Director, Promoter · 2 shared filings (2 issuers)

Listed on the same filings as Mark Vance. Their page shows their other deals.

AP
No photo found yet (own website and image search run after this page is viewed)
Person

Arun Pasrija

Executive Officer, Director, Promoter · 2 shared filings (2 issuers)

Listed on the same filings as Mark Vance. Their page shows their other deals.

EJ
No photo found yet (own website and image search run after this page is viewed)
Person

Ed Jungerman, Jr.

Executive Officer · 2 shared filings (2 issuers)

Listed on the same filings as Mark Vance. Their page shows their other deals.

JO
No photo found yet (own website and image search run after this page is viewed)
Person

Jim Odom

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Mark Vance. Their page shows their other deals.

KP
No photo found yet (own website and image search run after this page is viewed)
Person

Kate Parks

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

AP
No photo found yet (own website and image search run after this page is viewed)
Person

Alan Plott

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

NP
No photo found yet (own website and image search run after this page is viewed)
Person

Nick Punyamurthy

Director · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Mark Vance. Their page shows their other deals.

RO
No photo found yet (own website and image search run after this page is viewed)
Person

Rick Overman

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

SP
No photo found yet (own website and image search run after this page is viewed)
Person

Shafique Pappa

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

EM
No photo found yet (own website and image search run after this page is viewed)
Person

Eugene McCord

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

RW
No photo found yet (own website and image search run after this page is viewed)
Person

Ray Webb

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

JS
No photo found yet (own website and image search run after this page is viewed)
Person

Jo Shotwell

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

CW
No photo found yet (own website and image search run after this page is viewed)
Person

Colin White

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

MS
No photo found yet (own website and image search run after this page is viewed)
Person

Matt Swenson

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

EC
No photo found yet (own website and image search run after this page is viewed)
Person

Ely Compean

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Steven Steele

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

BS
No photo found yet (own website and image search run after this page is viewed)
Person

Bill Schleich

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

MS
No photo found yet (own website and image search run after this page is viewed)
Person

Marilyn Swartz

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

VT
No photo found yet (own website and image search run after this page is viewed)
Person

Vince Tyson

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

JB
No photo found yet (own website and image search run after this page is viewed)
Person

Jeff Boozer

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

JW
No photo found yet (own website and image search run after this page is viewed)
Person

Jay Wempe

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

CC
No photo found yet (own website and image search run after this page is viewed)
Person

Cheryl Carr

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

KT
No photo found yet (own website and image search run after this page is viewed)
Person

Kim Tessmer

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

KZ
No photo found yet (own website and image search run after this page is viewed)
Person

Kathie Zentgraf

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

TR
No photo found yet (own website and image search run after this page is viewed)
Person

Teresa Romo

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

KL
No photo found yet (own website and image search run after this page is viewed)
Person

Kent Larsen

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

WC
No photo found yet (own website and image search run after this page is viewed)
Person

Wayne Crosby

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Vance. Their page shows their other deals.

PR
No photo found yet (own website and image search run after this page is viewed)
Person

Peter Rasmusson

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Mark Vance. Their page shows their other deals.

DF
No photo found yet (own website and image search run after this page is viewed)
Person

Dave Fridley

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Mark Vance. Their page shows their other deals.

SA
No photo found yet (own website and image search run after this page is viewed)
Person

Steve Angerhofer

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Mark Vance. Their page shows their other deals.

The team behind the deals

Sponsor group

Aztec

12 issuers · 70 filings · $47.8M reported sold · 2008–2013

One team, 12 deal companies. Mark Vance is listed on 12 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Mark Vance.

Same business address

51 other issuers file from the same address (first 50 shown)

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 15 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Mark Vance by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 15 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Mark Vance is listed on: none on file. No website or social profile named in Optech4D, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #281,802 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Houston, TX). Each opens in a new tab; what you find there is not verified by PartnerFacts.

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