This is the Primary Document downloaded from EDGAR on 12/11/2014 8:36:39 PM EST for EFDID 27399 and Accession Number 0001505987-11-000001.

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
0001505987
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
X Other (Specify)

Aztec XI Program (the Program) is the offering subject of this filing. If accepted, investors become partners of a partnership with Aztec Energy LLC Managing General Partner. Only one partnership is offered at a time until closed.
Name of Issuer
Aztec XI-B Oil & Gas LP/Aztec Energy LLC
Jurisdiction of Incorporation/Organization
NEVADA
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2010
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Aztec XI-B Oil & Gas LP/Aztec Energy LLC
Street Address 1 Street Address 2
ONE RIVERWAY SUITE 1580
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 Suite 1580
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 Suite 1580
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 Suite 1580
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 Suite 1580
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 Suite 1580
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.
Last Name First Name Middle Name
Johnson Waylan
Street Address 1 Street Address 2
One Riverway Suite 1580
City State/Province/Country ZIP/PostalCode
Houston TEXAS 77056
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

President, 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 2010-11-29    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
Frank Currie 1207937
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
Jeffrey R. 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 Parkway Suite 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
COLORADO
GEORGIA
ILLINOIS
IOWA
TEXAS
WISCONSIN
Recipient
Recipient CRD Number    None
Steve Barton 2788138
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
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
Don DeWaay 1297174
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DeWaay Financial Network, Inc. 30767
Street Address 1 Street Address 2
13001 University Avenue
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
ARKANSAS
FLORIDA
INDIANA
IOWA
KANSAS
MINNESOTA
NORTH CAROLINA
NORTH DAKOTA
SOUTH DAKOTA
Recipient
Recipient CRD Number    None
Kristopher F. Etter 4562123
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities, Inc. 35567
Street Address 1 Street Address 2
5740 Prospect Avenue Suite 2000
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75206
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
Oliver B. 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. Suite 3
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		    All States
   Foreign/non-US
KENTUCKY
Recipient
Recipient CRD Number    None
Thomas M. Hille 3070017
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFP Securities 35098
Street Address 1 Street Address 2
689 W. Foothill Blvd. Suite D
City State/Province/Country ZIP/Postal Code
Claremont CALIFORNIA 91711
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number    None
James O. Conaway 1920946
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
3000 E. Birch Street #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
OHIO
UTAH
Recipient
Recipient CRD Number    None
Tom D. English 2459450
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFP Securities 35098
Street Address 1 Street Address 2
5186 Carroll Canyon Rd.
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
David Gleeson 2918661
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
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
W. Aubrey Morrow 836500
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12636 High Bluff Dr. Suite 100
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
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
Tom Rehberger 1493001
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Nelson Reid 45503
Street Address 1 Street Address 2
14420 W. Sylvanfield Drive Suite 120
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77014
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
Recipient
Recipient CRD Number    None
Todd Condiff 5193760
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Heritage Financial 133019
Street Address 1 Street Address 2
5 Great Valley Parkway Suite 334
City State/Province/Country ZIP/Postal Code
Malvern PENNSYLVANIA 19355
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW MEXICO
Recipient
Recipient CRD Number    None
Tim Sherer 833618
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
CALIFORNIA
Recipient
Recipient CRD Number    None
Terry Wheeler 2163092
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
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
Steven Orr 1583467
(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
TEXAS
Recipient
Recipient CRD Number    None
Steven Knowlton 4527446
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
MICHIGAN
TEXAS
Recipient
Recipient CRD Number    None
Stephen Scheller 1732978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
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
Stacey Rognon 1898975
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
Joshua Patterson 3077302
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
Scott Reisenweaver 2485345
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Scott Mrozek 2410838
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Financial West 16668
Street Address 1 Street Address 2
4510 E. Thousand Oaks Blvd.
City State/Province/Country ZIP/Postal Code
Westlake Village CALIFORNIA 91362
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
Recipient
Recipient CRD Number    None
Scot Landborg 4555602
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Aaron Brodt 5017914
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Meridian United Capital 122924
Street Address 1 Street Address 2
8800 N. Gainey Center Dr. #176
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85258
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Antonio Taddeo 5110448
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies 130933
Street Address 1 Street Address 2
1040 N. Kings Hwy. Suite 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
CONNECTICUT
NEW YORK
Recipient
Recipient CRD Number    None
James Reardon 2309779
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies 130933
Street Address 1 Street Address 2
1040 N. Kings Hwy. Suite 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
NEW YORK
Recipient
Recipient CRD Number    None
Jeff Rachlin 823547
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies 130933
Street Address 1 Street Address 2
1040 N. Kings Hwy. Suite 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
NEW YORK
Recipient
Recipient CRD Number    None
Anthony Musto 2474439
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates 20999
Street Address 1 Street Address 2
14497 N. Dale Mabry Hwy. Suite 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
Recipient
Recipient CRD Number    None
Eliot Rosenberg 1056584
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates 20999
Street Address 1 Street Address 2
14497 N. Dale Mabry Hwy. Suite 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
Recipient
Recipient CRD Number    None
Howard Kaplan 1171182
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates 20999
Street Address 1 Street Address 2
14497 N. Dale Mabry Hwy. Suite 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
Recipient
Recipient CRD Number    None
Michael Reedy 3114264
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates 20999
Street Address 1 Street Address 2
14497 N. Dale Mabry Hwy. Suite 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
Recipient
Recipient CRD Number    None
Phillip Couture 734399
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates 20999
Street Address 1 Street Address 2
14497 N. Dale Mabry Hwy. Suite 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
Recipient
Recipient CRD Number    None
Phillip King 1839137
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates 20999
Street Address 1 Street Address 2
14497 N. Dale Mabry Hwy. Suite 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
KENTUCKY
Recipient
Recipient CRD Number    None
Jason Erickson 2527905
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capital Financial Services 8408
Street Address 1 Street Address 2
1 North Main St.
City State/Province/Country ZIP/Postal Code
Minot NORTH DAKOTA 58703
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH DAKOTA
WASHINGTON
Recipient
Recipient CRD Number    None
Robert Scullen 807388
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capital Financial Services 8408
Street Address 1 Street Address 2
1 North Main St.
City State/Province/Country ZIP/Postal Code
Minot NORTH DAKOTA 58703
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
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 Street 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
Joshua Cross 4522751
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DeWaay Financial 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
IOWA
Recipient
Recipient CRD Number    None
Ronald Melanson 331467
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DeWaay Financial 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
GEORGIA
KANSAS
NEVADA
UTAH
Recipient
Recipient CRD Number    None
Hunter Brownlie 2349976
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Financial West 16668
Street Address 1 Street Address 2
4510 E. Thousand Oaks Blvd.
City State/Province/Country ZIP/Postal Code
Westlake Village CALIFORNIA 91362
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW HAMPSHIRE
Recipient
Recipient CRD Number    None
Joseph Merback 2156180
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Financial West 16668
Street Address 1 Street Address 2
4510 E. Thousand Oaks Blvd.
City State/Province/Country ZIP/Postal Code
Westlake Village CALIFORNIA 91362
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
Dean Harvey 3076399
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
John Bales 1820734
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
John Treadway Brogdon 1450806
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
Leigh Zachary 2508360
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
WISCONSIN
Recipient
Recipient CRD Number    None
Nigel Bowman 2022439
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
Patrick Cruickshank 4214868
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities 35567
Street Address 1 Street Address 2
10205 Westheimer 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
TEXAS
Recipient
Recipient CRD Number    None
Damian Dering 2854253
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12636 High Bluff Drive Suite 100
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
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
Peter McNeil 4378567
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12636 High Bluff Drive Suite 100
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
Recipient
Recipient CRD Number    None
Anthony Mastroianni 2151249
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
TEXAS
Recipient
Recipient CRD Number    None
Anthony Mowrer 1947261
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
Clint Gharib 2070991
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
David Johnson 1010443
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
IOWA
Recipient
Recipient CRD Number    None
G. Russell Conrad 2746778
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
FLORIDA
Recipient
Recipient CRD Number    None
Jason Hawke 4177415
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
IDAHO
Recipient
Recipient CRD Number    None
Jeffrey Gove 5490359
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
NEBRASKA
Recipient
Recipient CRD Number    None
Richard Stocker 2573644
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
OHIO
Recipient
Recipient CRD Number    None
Royce Running 5202198
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. 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
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael Welch 4215661
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital 44337
Street Address 1 Street Address 2
12900 Preston Rd Suite 400
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75230
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
Robert Tweed 2339324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MAM Securities 124620
Street Address 1 Street Address 2
2060 Huntington Dr. Suite 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
CALIFORNIA
Recipient
Recipient CRD Number    None
Alan Schryer 1847282
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
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
Christopher Passero 2517681
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
WEST VIRGINIA
Recipient
Recipient CRD Number    None
Craig Sutherland 2001873
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Errol Mathieu 4483259
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
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
James Danovich 2782748
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Jason Gaylor 5643268
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Keith Offel 2570946
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
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
Kelvin Bishop 5148999
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Edward Scro 2821985
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Nelson Reid 45503
Street Address 1 Street Address 2
14420 W. Sylvanfield Drive Suite 120
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77014
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
Matthew Hannan 4852358
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Nelson Reid 45503
Street Address 1 Street Address 2
14420 W. Sylvanfield Drive Suite 120
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77014
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
Brent Turner 2429805
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Frank Norton 1069797
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
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
Jeffrey Meyers 2192759
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
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
Joseph Byerly 4187946
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Justin Irving 4083643
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
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
Charles Bowers 27270
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Steven Falk 14297
Street Address 1 Street Address 2
11280 Granite Ridge Dr. Unit 1042
City State/Province/Country ZIP/Postal Code
Las Vegas NEVADA 89135
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
Peter Roe 2255241
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Veritrust Financial 106594
Street Address 1 Street Address 2
3755 Capital of Texas Hwy S Ste 130
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78704
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
IOWA
NEW YORK
Recipient
Recipient CRD Number    None
John Naviaux 4895814
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFP Securities 35098
Street Address 1 Street Address 2
5186 Carroll Canyon Rd
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
John Schooler 2368308
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFP Securities 35098
Street Address 1 Street Address 2
5186 Carroll Canyon Rd
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

13. Offering and Sales Amounts

Total Offering Amount $50,000,000 USD
or    Indefinite
Total Amount Sold $9,919,000 USD
Total Remaining to be Sold $40,081,000 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:
203

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 $892,710 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 XI-B Oil & Gas LP/Aztec Energy LLC Ariane Cox Ariane Cox Vice President and Administrative Coordinator 2011-01-06

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.