This is the Primary Document downloaded from EDGAR on 3/3/2015 1:28:01 PM EST for EFDID 76907 and Accession Number 0001579973-15-000001.

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
0001579973
   Corporation
X Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
Catalyst Energy 2013-1, LP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2013
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Catalyst Energy 2013-1, LP
Street Address 1 Street Address 2
424 S. 27TH STREET, SUITE 304
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
PITTSBURGH PENNSYLVANIA 15203 412-325-4350

3. Related Persons

Last Name First Name Middle Name
Rodgers Paul Ryan
Street Address 1 Street Address 2
424 S. 27th Street, Suite 304
City State/Province/Country ZIP/PostalCode
Pittsburgh PENNSYLVANIA 15203
Relationship: X Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

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
   $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
X 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 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 505
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
   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 2013-12-31    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)

X 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    Other (describe)

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
Ronald Birnbaum 2382580
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Advisory Group Equity Services 15427
Street Address 1 Street Address 2
444 Washington Street
City State/Province/Country ZIP/Postal Code
Woburn MASSACHUSETTS 01801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Amy Gates 2488456
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Advisory Group Equity Services 15427
Street Address 1 Street Address 2
444 Washington Street
City State/Province/Country ZIP/Postal Code
Woburn MASSACHUSETTS 01801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
RHODE ISLAND
Recipient
Recipient CRD Number    None
Jeffrey Lewis 1744218
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Advisory Group Equity Services 15427
Street Address 1 Street Address 2
444 Washington Street
City State/Province/Country ZIP/Postal Code
Woburn MASSACHUSETTS 01801
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
Eric Nyland 2871506
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Advisory Group Equity Services 15427
Street Address 1 Street Address 2
444 Washington Street
City State/Province/Country ZIP/Postal Code
Woburn MASSACHUSETTS 01801
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
George Scheidt 412886
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Investors Company 38
Street Address 1 Street Address 2
2682 Bishop Drive
City State/Province/Country ZIP/Postal Code
San Ramon CALIFORNIA 94583
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 Kolinsky 1090913
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services 18487
Street Address 1 Street Address 2
4250 Veterans Memorial Highway
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
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
Edward Moore 4202226
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services 18487
Street Address 1 Street Address 2
4250 Veterans Memorial Highway
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
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
Douglas Schiffmiller 4222388
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services 18487
Street Address 1 Street Address 2
4250 Veterans Memorial Highway
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
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
Albert Browning 3126567
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher & Company Financial Services, Inc. 13609
Street Address 1 Street Address 2
701 Tama Street
City State/Province/Country ZIP/Postal Code
Marion IOWA 52302
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
Brenda Dunn 2496968
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher & Company Financial Services, Inc. 13609
Street Address 1 Street Address 2
701 Tama Street
City State/Province/Country ZIP/Postal Code
Marion IOWA 52302
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
Keith Johnson 1666714
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher & Company Financial Services, Inc. 13609
Street Address 1 Street Address 2
701 Tama Street
City State/Province/Country ZIP/Postal Code
Marion IOWA 52302
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
J Richard Matheis 869179
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher & Company Financial Services, Inc. 13609
Street Address 1 Street Address 2
701 Tama Street
City State/Province/Country ZIP/Postal Code
Marion IOWA 52302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
FLORIDA
Recipient
Recipient CRD Number    None
Andrew Topka 5070107
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher & Company Financial Services, Inc. 13609
Street Address 1 Street Address 2
701 Tama Street
City State/Province/Country ZIP/Postal Code
Marion IOWA 52302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NORTH CAROLINA
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
Robert Edwin Perry 360718
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cadaret Grant & Co. 10641
Street Address 1 Street Address 2
110 West Fayette Street
City State/Province/Country ZIP/Postal Code
Syracuse NEW YORK 13202
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 Fountain 2367858
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc. 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
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
Jack Hinds 1038431
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
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
Robert Lau 1048404
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
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
Richard Maas 3198288
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
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
Keith Offel 2570946
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW JERSEY
OKLAHOMA
Recipient
Recipient CRD Number    None
Alex Paoletto 864081
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
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
Loren Rex 4403820
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
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
Jared Roskelley 3139812
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
FLORIDA
Recipient
Recipient CRD Number    None
Craig Scherzer 5470414
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KANSAS
Recipient
Recipient CRD Number    None
Christopher Taylor 3251069
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
Eric Wegner 2044977
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research Inc 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
WISCONSIN
Recipient
Recipient CRD Number    None
Evan Welch 2966271
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
1776 Pleasant Plain Road
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Jill Beach 2487684
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
Recipient
Recipient CRD Number    None
Ronald Burkard 2703044
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
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
Robert Cannon 2765289
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Steven Chantler 1233798
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
Recipient
Recipient CRD Number    None
Ahmad Hashemian 1574079
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW MEXICO
Recipient
Recipient CRD Number    None
Kate King 4654157
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
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 Marcheso 869337
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IDAHO
WASHINGTON
Recipient
Recipient CRD Number    None
John Routten 818109
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 East Katella
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
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
Eric Heckman 2220911
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Heckman Financial & Insurance Services Inc, 111549
Street Address 1 Street Address 2
111 N. Market Steet
City State/Province/Country ZIP/Postal Code
San Jose CALIFORNIA 95113
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
Martin Batstone 2171601
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
Kelly Clyde 4825839
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
ARIZONA
CALIFORNIA
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
12671 High Bluff Drive
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
M Ian Dunlap 5368000
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
H Scott Peck 3088444
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
David Elhoff 855864
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
Jeff Fisher 4950246
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
James Hanson 2507473
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
NEW YORK
Recipient
Recipient CRD Number    None
Paul Huddle 2445351
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
Haynes Kendall 1274737
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
ARIZONA
CALIFORNIA
Recipient
Recipient CRD Number    None
Kenny Kim 2864085
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
Ellen Lau 4757064
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
MASSACHUSETTS
Recipient
Recipient CRD Number    None
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
12671 High Bluff Drive
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
Brian Solomon 1715160
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
Chris Vizzi 5095868
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12671 High Bluff Drive
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
Sid Gautam 1409621
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp Inc. 7684
Street Address 1 Street Address 2
4400 Biscayne Blvd.
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33137
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
GEORGIA
NORTH CAROLINA
TEXAS
Recipient
Recipient CRD Number    None
David Miller 4648882
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp Inc 7684
Street Address 1 Street Address 2
4400 Biscayne Blvd.
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33137
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
Nicholas Trifiro 2682851
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp Inc 7684
Street Address 1 Street Address 2
4400 Biscayne Blvd.
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33137
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
Thomas Hille 3070017
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JRL Capital 108162
Street Address 1 Street Address 2
20371 Irvine Ave.
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
TEXAS
Recipient
Recipient CRD Number    None
Benjamin Barbour 5948847
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital Inc. 44337
Street Address 1 Street Address 2
11525 Park Woods Circle
City State/Province/Country ZIP/Postal Code
Alpharetta GEORGIA 30005
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
Martin McFarlin 2838151
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital Inc 44337
Street Address 1 Street Address 2
11525 Park Woods Circle
City State/Province/Country ZIP/Postal Code
Alpharetta GEORGIA 30005
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
Steven Netzel 2863170
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital Inc 44337
Street Address 1 Street Address 2
11525 Park Woods Circle
City State/Province/Country ZIP/Postal Code
Alpharetta GEORGIA 30005
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
Ronald Russell 2844140
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital Inc 44337
Street Address 1 Street Address 2
11525 Park Woods Circle
City State/Province/Country ZIP/Postal Code
Alpharetta GEORGIA 30005
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 Welch 4215661
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kalos Capital Inc 44337
Street Address 1 Street Address 2
11525 Park Woods Circle
City State/Province/Country ZIP/Postal Code
Alpharetta GEORGIA 30005
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 O'Connor 1579397
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Investment 519
Street Address 1 Street Address 2
218 Glenside Ave.
City State/Province/Country ZIP/Postal Code
Wyncote PENNSYLVANIA 19095
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
Ryan Weber 2665254
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Investment 519
Street Address 1 Street Address 2
218 Glenside Ave.
City State/Province/Country ZIP/Postal Code
Wyncote PENNSYLVANIA 19095
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
Graham Wilson 1197343
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Investment 519
Street Address 1 Street Address 2
218 Glenside Ave.
City State/Province/Country ZIP/Postal Code
Wyncote PENNSYLVANIA 19095
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Thomas Kieffer 1531908
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MidAmerica Financial Services 47351
Street Address 1 Street Address 2
2230 East 32nd Street
City State/Province/Country ZIP/Postal Code
Joplin MISSOURI 64804
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
MICHIGAN
MISSOURI
NEBRASKA
OKLAHOMA
Recipient
Recipient CRD Number    None
David Levinson 2644880
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities 16944
Street Address 1 Street Address 2
180 Maiden Lane
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10038
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
Antonio Taddeo 5110448
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities 16944
Street Address 1 Street Address 2
180 Maiden Lane
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10038
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
James Reynolds 4408485
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Northland Securities 40258
Street Address 1 Street Address 2
45 South 7th Street
City State/Province/Country ZIP/Postal Code
Minneapolis MINNESOTA 55402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
WISCONSIN
Recipient
Recipient CRD Number    None
Douglas Barton 1494345
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Edwin Buck 731779
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
MISSISSIPPI
Recipient
Recipient CRD Number    None
Jeff Buck 4884887
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Katie Buck 4884942
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Lorin Chun 1103114
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Keven Crabtree 1748048
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Harry Sechman 2036874
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Eric Sechman 5237126
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Christopher Hass 2657637
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
Recipient
Recipient CRD Number    None
Lloyd Migita 1377078
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Nathan Tiarks 4130957
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sammons Securities Co., LLC 115368
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MINNESOTA
Recipient
Recipient CRD Number    None
Anthony Barcarella 2503482
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Timothy Greene 2622877
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Scott Hayden 4082716
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Kyle Jobin 4915438
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Harvey Kaluzna 2073577
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Brad LeBlanc 1583014
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Theresa Lombardi 2563331
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
David Matles 2995484
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Gregory Michalkow 2254728
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Kristine Miele 2214295
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Thomas Redmond 372381
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
David Torres 2358536
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Albert Tynes 4695151
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
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
Charles Vercellone 1310964
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corp. 14303
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number    None
Jeffrey Brown 1789323
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc 25803
Street Address 1 Street Address 2
5185 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
RHODE ISLAND
Recipient
Recipient CRD Number    None
David Maniet 2566809
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc 25803
Street Address 1 Street Address 2
5185 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Randall Martinez 4930351
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc 25803
Street Address 1 Street Address 2
5185 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
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
Douglas Miller 1946240
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc 25803
Street Address 1 Street Address 2
5185 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
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
James Walesa 1061209
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc 25803
Street Address 1 Street Address 2
5185 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
James Warring 3198200
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc 25803
Street Address 1 Street Address 2
5185 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
Recipient
Recipient CRD Number    None
Garry Savage 1195330
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Wall Street Strategies 31268
Street Address 1 Street Address 2
362 North Main Street
City State/Province/Country ZIP/Postal Code
Huron OHIO 44839
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
OHIO

13. Offering and Sales Amounts

Total Offering Amount $30,000,000 USD
or    Indefinite
Total Amount Sold $14,524,626 USD
Total Remaining to be Sold $15,475,374 USD
or    Indefinite

Clarification of Response (if Necessary):

Program closed 12/31/2013 no units left to sell.

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:
223

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 $1,205,714 USD
   Estimate
Finders' Fees $0 USD
   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
X 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 Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).

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
Catalyst Energy 2013-1, LP Paul Ryan Rodgers Paul Ryan Rodgers President & CEO of the sole member of GP of the Issuer 2015-03-03

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.