This is the Primary Document downloaded from EDGAR on 12/11/2014 3:25:59 PM EST for EFDID 12769 and Accession Number 0001472076-10-000003.

Please note that this is not the current Accession Number for this EFDId.

SEC FORM D/A

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Expires: August 31, 2015
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001472076
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
X Other (Specify)

Aztec X Drilling Program by Aztec Oil & Gas (the Program) is the offering subject of this filing. Under terms of Program accepted investors become limited partners of a partnership. Only one partnership is offered at a time until closed.
Name of Issuer
Aztec X Oil & Gas Drilling Program
Jurisdiction of Incorporation/Organization
TEXAS
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Aztec X Oil & Gas Drilling Program
Street Address 1 Street Address 2
ONE RIVERWAY STE 1700
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
HOUSTON TEXAS 77056 713-840-6444

3. Related Persons

Last Name First Name Middle Name
Lehrer Kenneth
Street Address 1 Street Address 2
One Riverway Ste 1700
City State/Province/Country ZIP/PostalCode
Houston TEXAS 77056
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of Aztec Oil & Gas, Inc.
Last Name First Name Middle Name
Vance Mark
Street Address 1 Street Address 2
One Riverway Ste 1700
City State/Province/Country ZIP/PostalCode
Houston TEXAS 77056
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of Aztec Oil & Gas, Inc.
Last Name First Name Middle Name
Hornbrook Larry
Street Address 1 Street Address 2
One Riverway Ste 1700
City State/Province/Country ZIP/PostalCode
Houston TEXAS 77056
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

CFO of Aztec Oil & Gas, Inc.
Last Name First Name Middle Name
Wheeler Dayton
Street Address 1 Street Address 2
One Riverway Ste 1700
City State/Province/Country ZIP/PostalCode
Houston TEXAS 77056
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of Aztec Oil & Gas, Inc.
Last Name First Name Middle Name
Cox Ariane
Street Address 1 Street Address 2
One Riverway Ste 1700
City State/Province/Country ZIP/PostalCode
Houston TEXAS 77056
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Vice President, Secretary-Treasurer, and Administrative Coordinator of Aztec Oil & Gas, Inc.

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
X Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
Retailing
  
Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
X $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
   Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))    Rule 505
   Rule 504 (b)(1)(i) X Rule 506
   Rule 504 (b)(1)(ii)    Securities Act Section 4(5)
   Rule 504 (b)(1)(iii)    Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2009-09-25    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   Yes X No

9. Type(s) of Securities Offered (select all that apply)

   Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X Other (describe)
Limited Partnership Units

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $50,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Ray Kim 4446196
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Private Asset Group, Inc. 142541
Street Address 1 Street Address 2
20241 SW Birch #100
City State/Province/Country ZIP/Postal Code
Newport Beach CALIFORNIA 92660
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Al Vanderlaan 1172406
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capwest Securities 30002
Street Address 1 Street Address 2
420 10th St NW
City State/Province/Country ZIP/Postal Code
Watertown SOUTH DAKOTA 57201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH DAKOTA
Recipient
Recipient CRD Number    None
Steve Barton 2788138
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
7000 Central Pkwy, Ste 1340
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30328
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARKANSAS
FLORIDA
GEORGIA
MICHIGAN
NORTH CAROLINA
SOUTH CAROLINA
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
Antonio Taddeo 5110448
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc. 130933
Street Address 1 Street Address 2
50 Broadway, 1st Floor, Ste 22
City State/Province/Country ZIP/Postal Code
Hawthorne NEW YORK 10532
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number    None
Patrick Cruickshank 4214868
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
6836 Bee Cave Rd. 2nd Floor
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
FLORIDA
HAWAII
ILLINOIS
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
Joel Beyer 2515319
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Corp. 14754
Street Address 1 Street Address 2
167535 Rendon Valley Rd
City State/Province/Country ZIP/Postal Code
Ramona CALIFORNIA 92065
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
John Brogdon 1450806
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
10205 Westheimer Rd Suite 500
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77042
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
IOWA
MARYLAND
NORTH CAROLINA
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
Steven Knowlton 4527446
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
6121 FM 1960 Rd W Ste 200
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77069
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
ILLINOIS
KANSAS
KENTUCKY
LOUISIANA
MASSACHUSETTS
MICHIGAN
MISSISSIPPI
MISSOURI
NEW MEXICO
OHIO
SOUTH CAROLINA
TEXAS
UTAH
Recipient
Recipient CRD Number    None
David Gleeson 2918661
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
7000 Central Pkwy, Ste 1340
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30328
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
MAINE
NEW YORK
VIRGINIA
Recipient
Recipient CRD Number    None
Nigel Bowman 2022439
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
6836 Bee Cave Rd., 2nd Floor
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
IOWA
MAINE
NEW YORK
OKLAHOMA
TEXAS
UTAH
Recipient
Recipient CRD Number    None
Lawrence Lambert 301059
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capwest Securities Inc. 30002
Street Address 1 Street Address 2
Berkmar Circle, Ste 1
City State/Province/Country ZIP/Postal Code
Charlottesville VIRGINIA 22901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
IDAHO
ILLINOIS
INDIANA
LOUISIANA
MARYLAND
MASSACHUSETTS
MINNESOTA
MISSISSIPPI
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Charles Rognon 816295
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
4205 Snug Harbor Dr.
City State/Province/Country ZIP/Postal Code
College Station TEXAS 77845
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW MEXICO
TEXAS
Recipient
Recipient CRD Number    None
Robert Themm 2886714
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc. 130933
Street Address 1 Street Address 2
2901 Ross Ct
City State/Province/Country ZIP/Postal Code
Midland MICHIGAN 48640
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
Robert Davis 722322
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates, Inc. 20999
Street Address 1 Street Address 2
3551 W. Bearss Ave.
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33618
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Alan Lichtenstein 1877017
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc. 130933
Street Address 1 Street Address 2
18 Wade Dr.
City State/Province/Country ZIP/Postal Code
Lake Grove NEW YORK 11755
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number    None
Howard Kaplan 1171182
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates, Inc. 20999
Street Address 1 Street Address 2
14497 N Dale Mabry Ste 215
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33618
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
GEORGIA
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Oliver Williamson 4642029
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates, Inc. 20999
Street Address 1 Street Address 2
611 Hambley Blvd.
City State/Province/Country ZIP/Postal Code
Pikeville KENTUCKY 41501
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Mark Markland 1487083
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
1230 Rosecrans Ave #610
City State/Province/Country ZIP/Postal Code
Manhattan Beach CALIFORNIA 90266
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Ron Lundy 4060961
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
7000 Central Pkwy, Ste 1340
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30328
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
INDIANA
IOWA
KENTUCKY
MAINE
MARYLAND
MICHIGAN
MISSISSIPPI
MISSOURI
MONTANA
NEVADA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Terry Wheeler 2163092
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
2601 K Street
City State/Province/Country ZIP/Postal Code
Sacramento CALIFORNIA 95816
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW MEXICO
NEW YORK
OREGON
TENNESSEE
WASHINGTON
Recipient
Recipient CRD Number    None
Jeff Nesseth 1983482
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
7000 Central Pkwy, Ste 1340
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30328
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
IOWA
MARYLAND
MICHIGAN
MISSOURI
NORTH CAROLINA
OHIO
SOUTH DAKOTA
TENNESSEE
TEXAS
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Charles Bowers 27270
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Steven Falk & Associates, Inc 14297
Street Address 1 Street Address 2
17 Eastwood Dr.
City State/Province/Country ZIP/Postal Code
Palm Coast FLORIDA 32164
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
ILLINOIS
MARYLAND
MASSACHUSETTS
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
PENNSYLVANIA
RHODE ISLAND
VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
John Redfearn 2771876
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
7000 Central Pkwy, Ste 1340
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30328
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
INDIANA
IOWA
KENTUCKY
MAINE
MARYLAND
MICHIGAN
MISSISSIPPI
MISSOURI
MONTANA
NEVADA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
James Gaul 218833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc. 130933
Street Address 1 Street Address 2
1040 Kings Hwy N Ste 405
City State/Province/Country ZIP/Postal Code
Cherry Hill NEW JERSEY 08034
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
Jeff Rachlin 823547
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc. 130933
Street Address 1 Street Address 2
141 Tompkins Avenue, 3rd Floor
City State/Province/Country ZIP/Postal Code
Pleasantville NEW YORK 10570
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number    None
John Bales 1820734
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
10205 Westheimer Rd., Ste 500
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77042
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
TEXAS
Recipient
Recipient CRD Number    None
John Tyler 4272019
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capwest Securities Inc. 30002
Street Address 1 Street Address 2
288 Clayton St. #303
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80206
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
ILLINOIS
KANSAS
MARYLAND
MONTANA
NEVADA
NEW MEXICO
NEW YORK
OHIO
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
VIRGINIA
WASHINGTON
WYOMING
Recipient
Recipient CRD Number    None
Tom English 2459450
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFP Securities 35098
Street Address 1 Street Address 2
5786 Carroll Canyon Road
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Nahum Daniels 1521504
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
555 Webbs Hill Rd
City State/Province/Country ZIP/Postal Code
Stamford CONNECTICUT 06903
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
MASSACHUSETTS
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number    None
David Leathers 2253342
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
327 Dahlonega St. #1001
City State/Province/Country ZIP/Postal Code
Cumming GEORGIA 30040
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
MISSISSIPPI
NEW YORK
NORTH CAROLINA
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
Recipient
Recipient CRD Number    None
Jack Halley 2130728
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capwest Securities Inc. 30002
Street Address 1 Street Address 2
908 Tower Ct.
City State/Province/Country ZIP/Postal Code
Camarillo CALIFORNIA 93010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
David Theis 1422471
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
103 Marty Dr. Ste 101
City State/Province/Country ZIP/Postal Code
Buffalo MINNESOTA 55313
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Michael Dougherty 2456707
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
103 Marty Dr. Ste 101
City State/Province/Country ZIP/Postal Code
Buffalo MINNESOTA 55313
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Robert Tweed 2339324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capwest Securities Inc. 30002
Street Address 1 Street Address 2
2060 Huntington Dr Ste 1
City State/Province/Country ZIP/Postal Code
San Marino CALIFORNIA 91108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEVADA
NEW JERSEY
NEW YORK
OHIO
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
John Klett 5307951
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies, Inc 130933
Street Address 1 Street Address 2
35 University Dr.
City State/Province/Country ZIP/Postal Code
Setauket NEW YORK 11733
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number    None
John Hannan 1372033
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Private Asset Group, Inc. 142541
Street Address 1 Street Address 2
5070 Bristol St Ste 500
City State/Province/Country ZIP/Postal Code
Costa Mesa CALIFORNIA 92626
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
James Conaway 1920946
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
3 Financial Corp. 14754
Street Address 1 Street Address 2
3000 E. Birch St #109
City State/Province/Country ZIP/Postal Code
Brea CALIFORNIA 92821
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW YORK
Recipient
Recipient CRD Number    None
William Lance Tolbert 4927030
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates, Inc. 20999
Street Address 1 Street Address 2
2716 W Oxford Loop Ste 179
City State/Province/Country ZIP/Postal Code
Oxford MISSISSIPPI 38655
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSISSIPPI
Recipient
Recipient CRD Number    None
Jackie Wadsworth 2342163
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
10205 Westheimer Rd., Ste 500
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77042
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Michael Scavullo 2537103
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
5266 Bailey Ct.
City State/Province/Country ZIP/Postal Code
Doylestown PENNSYLVANIA 18902
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
PENNSYLVANIA
Recipient
Recipient CRD Number    None
William Laseter Jr 1086701
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
3060 Peachtree Rd NW 11th Floor
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30305
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number    None
Joel Kamphis 1730775
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
350 SE 2nd St #1560
City State/Province/Country ZIP/Postal Code
Ft. Lauderdale FLORIDA 33301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
GEORGIA
LOUISIANA
MASSACHUSETTS
MICHIGAN
NEW JERSEY
PENNSYLVANIA
TEXAS
WISCONSIN
Recipient
Recipient CRD Number    None
Anthony Marcello 2844880
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
350 SE 2nd St #1560
City State/Province/Country ZIP/Postal Code
Ft. Lauderdale FLORIDA 33301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
GEORGIA
LOUISIANA
MASSACHUSETTS
MICHIGAN
NEW JERSEY
TEXAS
WISCONSIN
Recipient
Recipient CRD Number    None
Bert Hermalink 243918
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
23493 C. Phillips Pl
City State/Province/Country ZIP/Postal Code
Aurora COLORADO 80016
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
FLORIDA
TEXAS
Recipient
Recipient CRD Number    None
Donald DeWaay 1297174
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DeWaay Financial Network, LLC 30767
Street Address 1 Street Address 2
13001 University Ave
City State/Province/Country ZIP/Postal Code
Clive IOWA 50325
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
Joshua Cross 4522751
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DeWaay Financial Network 30767
Street Address 1 Street Address 2
13001 University Ave
City State/Province/Country ZIP/Postal Code
Clive IOWA 50325
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
FLORIDA
HAWAII
ILLINOIS
IOWA
KANSAS
KENTUCKY
MASSACHUSETTS
MINNESOTA
MISSISSIPPI
MISSOURI
NEBRASKA
NEVADA
NORTH CAROLINA
OHIO
TEXAS
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Michael Roberts 4700058
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
1820 E. Ray Rd.
City State/Province/Country ZIP/Postal Code
Chandler ARIZONA 85225
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
OREGON
TEXAS
WASHINGTON
Recipient
Recipient CRD Number    None
Brenton William Collins 4915000
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DeWaay Financial Network 30767
Street Address 1 Street Address 2
13001 University Ave
City State/Province/Country ZIP/Postal Code
Clive IOWA 50325
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Gilbert Russell Conrad 2746778
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
210 S. 9th St.
City State/Province/Country ZIP/Postal Code
Lewiston NEW YORK 14092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Charles Fischer 1186289
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
1500 Valley River Dr. Ste 315
City State/Province/Country ZIP/Postal Code
Eugene OREGON 97401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
OREGON
Recipient
Recipient CRD Number    None
Guiseppi Morabito 4873700
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
3737 Glenwood Ave, Ste 100
City State/Province/Country ZIP/Postal Code
Raleigh NORTH CAROLINA 27612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
NORTH CAROLINA
OHIO
Recipient
Recipient CRD Number    None
Scott Reisenweaver 2485345
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
116A Walton Park Ln.
City State/Province/Country ZIP/Postal Code
Midlothian VIRGINIA 23114
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
VIRGINIA
Recipient
Recipient CRD Number    None
Burke Richman 1023504
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
834 Falls Ave Ste 2170
City State/Province/Country ZIP/Postal Code
Twin Falls IDAHO 83301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
IDAHO
UTAH
Recipient
Recipient CRD Number    None
Jason Hawke 4177415
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JP Turner & Company 43177
Street Address 1 Street Address 2
834 Falls Ave Ste 2170
City State/Province/Country ZIP/Postal Code
Twin Falls IDAHO 83301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IDAHO
TEXAS
UTAH
Recipient
Recipient CRD Number    None
Kim Kopacka 3153396
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
21 Kercheval #320
City State/Province/Country ZIP/Postal Code
Grosse Pointe Farms MICHIGAN 48236
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
INDIANA
MICHIGAN
MISSOURI
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
TENNESSEE
TEXAS
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Brian Mohan 1549373
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates, Inc. 20999
Street Address 1 Street Address 2
1269 1st St. #4
City State/Province/Country ZIP/Postal Code
Sarasota FLORIDA 34236
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
IOWA
MASSACHUSETTS
MICHIGAN
NEW YORK
OHIO
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Chris Gammon 2354523
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
10205 Westheimer Rd., Ste 500
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77042
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Kenneth Laurence Agee 2768598
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
2527 Common St.
City State/Province/Country ZIP/Postal Code
Lake Charles LOUISIANA 70601
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
LOUISIANA
TEXAS
Recipient
Recipient CRD Number    None
Curtis Sathre 2459115
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFP Securities 35098
Street Address 1 Street Address 2
9861 Irvine Center Dr.
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA

13. Offering and Sales Amounts

Total Offering Amount $50,000,000 USD
or    Indefinite
Total Amount Sold $7,765,500 USD
Total Remaining to be Sold $42,234,500 USD
or    Indefinite

Clarification of Response (if Necessary):

14. Investors

  
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
167

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $6,000,000 USD
X Estimate
Finders' Fees $0 USD
X Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
   Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Aztec X Oil & Gas Drilling Program Ariane E. Cox Ariane E. Cox Vice President and Administrative Coordinator 2010-06-14

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.