# NATIONAL HOLDINGS CORP — Form D

NATIONAL HOLDINGS CORP of NEW YORK, NY, a company, filed a Form D exempt-offering notice with the SEC on 2013-09-13. The offering totals $3.2M, of which $3.2M was reported sold. Industry: Investment Banking.

## Offering

- Filed: 2013-09-13
- Form: D
- Accession: 0001437749-13-011970
- Industry: Investment Banking
- Exemptions: 06
- Total offering: $3.2M
- Amount sold: $3.2M
- Investors: 14
- Date of first sale: 2013-08-30
- Security types: equity
- Revenue range: Over $100,000,000
- SEC file number: 021-202860

## Issuer

- Name: NATIONAL HOLDINGS CORP
- CIK: 0001023844
- Entity type: Corporation
- Jurisdiction: DE
- Address: 120 BROADWAY, NEW YORK, NY, 10271
- Phone: 212-417-8000

## Officers, directors & promoters (43)

_Showing 25 of 43 people._

| Name | Role | Location |
| --- | --- | --- |
| Robert B Fagenson | Director | Rochester, NY |
| Mark Goldwasser | Director | Rockville, MD |
| Salvatore B Guardina | Director | New York, NY |
| Mark B Klein | Director | New York, NY |
| William B Lerner | Director | New York, NY |
| Frank S Plimpton | Director | New York, NY |
| Frederic B Powers, III | Director | New York, NY |
| Leonard J Sokolow | Director | ALPHARETTA, GA |
| Peter S Zurkow | Director | New York, NY |
| Mark Goldwasser | Executive Officer | Rockville, MD |
| Mark B Klein | Executive Officer | New York, NY |
| Alan B Levin | Executive Officer | Boca Raton, FL |
| Christopher Dewey | Director | HAYWARD, CA |
| Christopher Dewey | Executive Officer | HAYWARD, CA |
| Jonathan Rich | Executive Officer | NEW YORK, NY |
| Marshall Geller | Director | Lake Mary, FL |
| Brian Friedman | Executive Officer | Stamford, CT |
| Mark D Klein | Director | New York, NY |
| Mark D Klein | Executive Officer | New York, NY |
| Mark D Goldwasser | Director | New York, NY |
| Mark D Goldwasser | Executive Officer | New York, NY |
| Robert D Fagenson | Director | New York, NY |
| Robert D Fagenson | Executive Officer | New York, NY |
| Salvatore S Giardina | Director | New York, NY |
| Robert W Lautz, Jr. | Director | Los Angeles, CA |

## Other filings by this issuer (6)

| Filed | Form | Offering | Sold |
| --- | --- | --- | --- |
| [2013-02-08](https://search.stillhousedata.com/formd/0001437749-13-001284) | D | $8.8M | $8.8M |
| [2011-01-14](https://search.stillhousedata.com/formd/0001023844-11-000001) | D | $690K | — |
| [2010-11-04](https://search.stillhousedata.com/formd/0001023844-10-000021) | D | $2.0M | — |
| [2010-10-13](https://search.stillhousedata.com/formd/0001023844-10-000019) | D | $5.0M | $3.0M |
| [2010-06-11](https://search.stillhousedata.com/formd/0001493899-10-000001) | D | $2.0M | $1.7M |
| [2009-05-12](https://search.stillhousedata.com/formd/0001023844-09-000008) | D | $500K | $500K |

## More

- [CIK 1023844 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1023844&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001437749-13-011970.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.