This is the Primary Document downloaded from EDGAR on 1/31/2018 1:10:15 PM EST for EFDID 247907 and Accession Number 0001717288-18-000001.

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

SEC FORM D/A

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001717288
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
X Business Trust
   Other (Specify)

Name of Issuer
National Multifamily Portfolio II DST
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2017
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
National Multifamily Portfolio II DST
Street Address 1 Street Address 2
2901 BUTTERFIELD ROAD
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
OAK BROOK ILLINOIS 60523 6302184916

3. Related Persons

Last Name First Name Middle Name
Inland Private Capital Corporation N/A
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Sponsor of the Issuer
Last Name First Name Middle Name
NMP II Depositor L.L.C N/A
Street Address 1 Street Address 2
c/o Inland Private Capital Corporation 2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Depositor of the Issuer
Last Name First Name Middle Name
NMP II Exchange, L.L.C. N/A
Street Address 1 Street Address 2
c/o Inland Private Capital Corporation 2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Signatory Trustee of the Issuer

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
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
X 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)
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 2017-09-21    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 $25,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Silver Portal Capital LLC 114290
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Iaian Fillippini 4708877
Street Address 1 Street Address 2
12265 El Camino Real Suite 230
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
NEVADA
Recipient
Recipient CRD Number    None
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Smith 1412333
Street Address 1 Street Address 2
5000 Meadows Road Suite 230
City State/Province/Country ZIP/Postal Code
Lake Oswego OREGON 97035
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Daniel Raupp 4079107
Street Address 1 Street Address 2
417 East Main Street 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
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
Primex Prime Electronic Execution Inc 29394
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Christina Nielson 29394
Street Address 1 Street Address 2
650 Town Center Drive
City State/Province/Country ZIP/Postal Code
Costa Mesa CALIFORNIA 92626
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Neil Schmerling 4075729
Street Address 1 Street Address 2
261 Old York Road Suite 514
City State/Province/Country ZIP/Postal Code
Jenkintown PENNSYLVANIA 19046
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
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Harold Briggs 4404074
Street Address 1 Street Address 2
117 Metro Center Boulevard Suite 3000
City State/Province/Country ZIP/Postal Code
Warwick RHODE ISLAND 02886
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
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Douglas Donald 3250757
Street Address 1 Street Address 2
2408 Greatstone Point
City State/Province/Country ZIP/Postal Code
Lexington KENTUCKY 40504-3274
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
Sagepoint Financial, Inc 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Jonathan Hendrix 4543970
Street Address 1 Street Address 2
5310 Clark Road Suite 204
City State/Province/Country ZIP/Postal Code
Sarasota FLORIDA 34233
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
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Dominick Sarinelli 5409729
Street Address 1 Street Address 2
200 Valley Road Suite 3000
City State/Province/Country ZIP/Postal Code
Mount Arlington NEW JERSEY 07856
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
Silver Portal Capital LLC 114290
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Paul Rogers 6296495
Street Address 1 Street Address 2
12265 El Camino Real Suite 230
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
ILLINOIS
Recipient
Recipient CRD Number    None
Crown Capital Securities L.P. 6312
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Justin Lowy 5935993
Street Address 1 Street Address 2
725 Town and Country Road Suite 530
City State/Province/Country ZIP/Postal Code
Orange CALIFORNIA 92868
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
Emerson Equity LLC 130032
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Dinesh Gupta 6469999
Street Address 1 Street Address 2
777 North First Street Suite 720
City State/Province/Country ZIP/Postal Code
San Jose CALIFORNIA 95112
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
Harbour Investments, Inc 19258
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kendra Erkamaa 4856375
Street Address 1 Street Address 2
3101 Ingersoll Ave Suite 204
City State/Province/Country ZIP/Postal Code
Des Moines IOWA 50312
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
McDermott Investment Services, LLC 155633
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Debra Schleining 2768752
Street Address 1 Street Address 2
13530 Parker Street
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
OHIO
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
G Dennis Shay 3134093
Street Address 1 Street Address 2
1501 East Mockingbird Lane Suite 300
City State/Province/Country ZIP/Postal Code
Victoria TEXAS 77904-2153
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
Cabot Lodge Securities LLC 159712
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Tweed 2339324
Street Address 1 Street Address 2
2060 Huntington Drive 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
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael Moomaw 6236376
Street Address 1 Street Address 2
5635 NE Elam Young Parkway Suite 100
City State/Province/Country ZIP/Postal Code
Hillsboro OREGON 97124
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Nationwide Planning Associates, Inc 31029
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Eric Bicknese 2829451
Street Address 1 Street Address 2
375 Route 32
City State/Province/Country ZIP/Postal Code
Central Valley NEW YORK 10917
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
Royal Alliance Associates, Inc. 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
John Christy 4573758
Street Address 1 Street Address 2
1535 Walnut Street Suite 107
City State/Province/Country ZIP/Postal Code
Kansas City MISSOURI 64108
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
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Leonard Bettencourt 4025897
Street Address 1 Street Address 2
1325 Campbell Way
City State/Province/Country ZIP/Postal Code
Turlock CALIFORNIA 95382
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
Commonwealth Financial Network 8032
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Bruce Horowitz 1333901
Street Address 1 Street Address 2
6767 Forest Lawn Drive Suite 120
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90068-1027
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
McDermott Investment Services, LLC 155633
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Horning 2311640
Street Address 1 Street Address 2
26 West Broad Street
City State/Province/Country ZIP/Postal Code
Bethlehem PENNSYLVANIA 18018
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
Investment Planners, Inc 18557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Tom Ealy 863042
Street Address 1 Street Address 2
2911 Crossing Court #102
City State/Province/Country ZIP/Postal Code
Champaign ILLINOIS 61822
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
Investment Planners, Inc 18557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
John Foley 1287148
Street Address 1 Street Address 2
2911 Crossing Court #102
City State/Province/Country ZIP/Postal Code
Champaign ILLINOIS 61822
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
Investment Planners, Inc 18557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Caleb Smoes 5968483
Street Address 1 Street Address 2
2911 Crossing Court #102
City State/Province/Country ZIP/Postal Code
Champaign ILLINOIS 61822
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
Woodbury Financial Services, Inc 421
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Florell 5210813
Street Address 1 Street Address 2
5831 South 58th Street Suite D
City State/Province/Country ZIP/Postal Code
Lincoln NEBRASKA 68516
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
Investment Planners, Inc 18557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Christopher Mackenzie 4164821
Street Address 1 Street Address 2
420 Maine Street
City State/Province/Country ZIP/Postal Code
Quincy ILLINOIS 62301
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Delmar McKinney 1186853
Street Address 1 Street Address 2
700 N Main Street
City State/Province/Country ZIP/Postal Code
Taylor TEXAS 76574
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
Kovack Securities, Inc 44848
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Chris Hartman 1850747
Street Address 1 Street Address 2
3757 State Steet Suite 3A
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93105
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
Sigma Financial Corporation 14303
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Tom Velken 1600404
Street Address 1 Street Address 2
1078 Carol Lane #203
City State/Province/Country ZIP/Postal Code
Lafayette CALIFORNIA 94549
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
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berge Avedisian 2750210
Street Address 1 Street Address 2
25 West 45th Street Suite 504
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10036
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
Sagepoint Financial, Inc 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Jonathan Keller 4344114
Street Address 1 Street Address 2
3340-A Bee Ridge Road
City State/Province/Country ZIP/Postal Code
Sarasota FLORIDA 34231
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
Westpark Capital Inc 39914
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Levinson 705929
Street Address 1 Street Address 2
18872 MacArthur Blvd 1st Floor
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612
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
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Jerome Kotzur 4394788
Street Address 1 Street Address 2
1501 East Mockingbird Lane, Suite 300
City State/Province/Country ZIP/Postal Code
Victoria TEXAS 77904-2153
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
Centaurus Financial, Inc. 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Nicholas Ellis 1082891
Street Address 1 Street Address 2
14841 Yorba Street Suite 101
City State/Province/Country ZIP/Postal Code
Tustin CALIFORNIA 92780
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
DFPG Investments, Inc 155576
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Joseph Broadbent 3132498
Street Address 1 Street Address 2
9017 S Riverside Drive Suite 200
City State/Province/Country ZIP/Postal Code
Sandy UTAH 84070
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
Centaurus Financial, Inc. 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
John Scully 803539
Street Address 1 Street Address 2
450 Skokie Boulevard Suite 301
City State/Province/Country ZIP/Postal Code
Northbrook ILLINOIS 60062
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
FSC Securities Corporation 7461
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ralph Adamo 1624126
Street Address 1 Street Address 2
3991 Macarthur Blvd Suite 215
City State/Province/Country ZIP/Postal Code
Newport Beach CALIFORNIA 92660
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
The Strategic Financial Alliance 126514
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Brian Bennett 821115
Street Address 1 Street Address 2
731 N Tejon Street
City State/Province/Country ZIP/Postal Code
Colorado Springs COLORADO 80903
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
Parkland Securites, LLC 115368
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stuart Leibowitz 4483111
Street Address 1 Street Address 2
4066 Butler Pike
City State/Province/Country ZIP/Postal Code
Plymouth Meeting PENNSYLVANIA 19462
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
Centaurus Financial, Inc 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kate King 4654157
Street Address 1 Street Address 2
4000 Barranca Parkway Suite 250
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92604
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
Recipient
Recipient CRD Number    None
Cambridge Investment Research 39543
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Scott Bombeck 3042556
Street Address 1 Street Address 2
211 Lazaretto Road Suite 9f
City State/Province/Country ZIP/Postal Code
Prospect Park PENNSYLVANIA 19076
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
FSC Securities Corporation 7461
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Jay Mulligan 2491539
Street Address 1 Street Address 2
9200 Indian Creek Parkway Suite 140
City State/Province/Country ZIP/Postal Code
Overland Park KANSAS 66210
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
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Fingerhut 2206103
Street Address 1 Street Address 2
16020 Swingley Ridge Road Suite 100
City State/Province/Country ZIP/Postal Code
Chesterfield MISSOURI 63017
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
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
William Upson 1241673
Street Address 1 Street Address 2
1990 N California Blvd 8th Floor
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 945696
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Cambridge Investment Research 39543
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ann Stewart 2388888
Street Address 1 Street Address 2
2114 N Lincoln Ave #206
City State/Province/Country ZIP/Postal Code
Loveland COLORADO 80538
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Northeast Financial Group, Inc 134224
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Hackenberg 1064715
Street Address 1 Street Address 2
State Route 611
City State/Province/Country ZIP/Postal Code
Tannersville PENNSYLVANIA 18372
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Daniel Vincent 4400096
Street Address 1 Street Address 2
2611 Forest Ave Suite 120
City State/Province/Country ZIP/Postal Code
Chico CALIFORNIA 95928
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
Centaurus Financial, Inc 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kelley Slaught 1126586
Street Address 1 Street Address 2
3902 State Street Suite 101
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93105
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Centaurus Financial, Inc 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael Morando 6098724
Street Address 1 Street Address 2
3902 State Street Suite 101
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93105
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
Sagepoint Financial, Inc 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Maxwell PHillips 4953387
Street Address 1 Street Address 2
3902 State Street Suite 101
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93105
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
DFPG Investments, Inc 155576
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Scott Sheehan 2328614
Street Address 1 Street Address 2
2 Orr Hatch Drive
City State/Province/Country ZIP/Postal Code
Cornwall NEW YORK 12518
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Marcia Geltman 5540688
Street Address 1 Street Address 2
200 Valley Road Suite 300
City State/Province/Country ZIP/Postal Code
Mount Arlington NEW JERSEY 07856
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
Simmons First Investment Group Inc 47439
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Jimmy Hicks 5069270
Street Address 1 Street Address 2
11700 Cantrell
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72223
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
Cambridge Investment Research 39543
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Walter Heidenreich III 5073559
Street Address 1 Street Address 2
13984 West Bowles Ave 102
City State/Province/Country ZIP/Postal Code
Littleton COLORADO 80127
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ron Horvitz 1277033
Street Address 1 Street Address 2
3991 Ohio Street
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92104-3014
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
Sandlapper Securities, LLC 137906
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Scott Offerman 4619093
Street Address 1 Street Address 2
Sandlapper Financial Center 800 E North Street, 2nd Floor
City State/Province/Country ZIP/Postal Code
Greenville SOUTH CAROLINA 2960
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Cambridge Investment Research 39543
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael Curley 3259110
Street Address 1 Street Address 2
5636 Bridgetown Rd Suite F
City State/Province/Country ZIP/Postal Code
Cincinnati OHIO 45248
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mark Coombe 2733655
Street Address 1 Street Address 2
260 Country Club Rd
City State/Province/Country ZIP/Postal Code
Eugene OREGON 97401
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael Stieglitz 4623788
Street Address 1 Street Address 2
336 Sparta Avenue
City State/Province/Country ZIP/Postal Code
Sparta NEW JERSEY 07871-1760
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
Capulet LLC 155155
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Edward Fernandez 2956667
Street Address 1 Street Address 2
1 Spectrum Pointe Drive Suite 150
City State/Province/Country ZIP/Postal Code
Lake Forest CALIFORNIA 92630
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 30349
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Gene Alvin Brehm 2815437
Street Address 1 Street Address 2
7809 Broadway Street
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78209-2558
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
Primex Prime Electronic Execution Inc 4866971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Christina Nielson 29394
Street Address 1 Street Address 2
650 Town Center Drive Suite 1400
City State/Province/Country ZIP/Postal Code
Costa Mesa CALIFORNIA 92626
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Diane Jaworski-Faulhaber 3093135
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
1700 Norbridge Avenue
City State/Province/Country ZIP/Postal Code
Castro Valley CALIFORNIA 94546
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
Walter Webb 1120975
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
One Union Square 804 Krystal Building
City State/Province/Country ZIP/Postal Code
Chattanooga TENNESSEE 37402
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Michael Speer 2414155
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
5200 DTC Parkway Suite 530
City State/Province/Country ZIP/Postal Code
Greenwood Village COLORADO 80111
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Shawn Valentine 4632973
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton & Associates 20999
Street Address 1 Street Address 2
1049 Washington Avenue
City State/Province/Country ZIP/Postal Code
Washington Court House OHIO 43160
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
David Fingerhut 2206103
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc 23131
Street Address 1 Street Address 2
16020 Swingley Ridge Road Suite 100
City State/Province/Country ZIP/Postal Code
Chesterfield MISSOURI 63017
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
Wayne Pampaloni 2201691
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
The Strategic Financial Alliance 126514
Street Address 1 Street Address 2
1875 Campus Commons Drive Suite 100
City State/Province/Country ZIP/Postal Code
Reston VIRGINIA 20191
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
Troy Thomas 4691720
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
McDermott Investment Services LLC 154926
Street Address 1 Street Address 2
101 Main Street Suite 260
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92648
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
Kelli Lynn Holliefield 4714815
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Calton and Associates 20999
Street Address 1 Street Address 2
7700 San Jacinto Place Suite 200
City State/Province/Country ZIP/Postal Code
Plano TEXAS 75024
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
H.D. Vest Investment Securities Inc 13686
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alton Thiele 4236443
Street Address 1 Street Address 2
300 E Ave C
City State/Province/Country ZIP/Postal Code
Belton TEXAS 76513
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
Vanderbilt Securities, LLC 5953
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Chris Corritore 2306471
Street Address 1 Street Address 2
7811 15th Ave
City State/Province/Country ZIP/Postal Code
Brooklyn NEW YORK 11228
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
Vanderbilt Securities, LLC 5953
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Procida 1067047
Street Address 1 Street Address 2
7811 15th Ave
City State/Province/Country ZIP/Postal Code
Brooklyn NEW YORK 11228
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
Parkland Securities, LLC 115368
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Gordon Hamilton 5028789
Street Address 1 Street Address 2
5875 Lehman Drive Suite 201E
City State/Province/Country ZIP/Postal Code
Colorado Springs COLORADO 80918
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
Parkland Securities, LLC 115368
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Josh Griffin 4664355
Street Address 1 Street Address 2
6312 South Fiddlers Green Circle 300
City State/Province/Country ZIP/Postal Code
Greenwood Village COLORADO 80111
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
Moloney Securities Co 38535
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Wood 2306563
Street Address 1 Street Address 2
618 Chestnut Road Suite 108
City State/Province/Country ZIP/Postal Code
Myrtle Beach SOUTH CAROLINA 29572
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
Centaurus Financial Inc 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mike Kilpatrick 1278618
Street Address 1 Street Address 2
5999 Bridge View Street
City State/Province/Country ZIP/Postal Code
Camarillo CALIFORNIA 93012
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
McDermott Investment Services, LLC 154926
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Corbin Thomas 4234748
Street Address 1 Street Address 2
101 Main Street Suite 260
City State/Province/Country ZIP/Postal Code
Hungtinton Beach CALIFORNIA 92648
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
Woodbury Financial Services, Inc 421
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Paul Zalduendo 5152603
Street Address 1 Street Address 2
1801 S Meyers Road Suite 150
City State/Province/Country ZIP/Postal Code
Oakbrook Terrace ILLINOIS 60181
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
H.D. Vest Investment Securities Inc 13686
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lisa Pugel 2506156
Street Address 1 Street Address 2
1125 Milwaukee Ave
City State/Province/Country ZIP/Postal Code
South Milwaukee WISCONSIN 53172
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Jason Coles 2632270
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc 30833
Street Address 1 Street Address 2
2300 E. Katella Ave Suite 200
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
Herb Alston 5294132
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 Victor Parkway Suite 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
Del Londono 2695744
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc 133763
Street Address 1 Street Address 2
20 E Thomas Rd Suite 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
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
Mitchal O'Hare 4561108
(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 RD.
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556-8757
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
Sigrid Daugaard 5481583
(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 RD.
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556-8757
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
David Dahill 6581024
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WealthForge Securities LLC 152550
Street Address 1 Street Address 2
6800 PARAGON PLACE Suite 200
City State/Province/Country ZIP/Postal Code
Richmond VIRGINIA 23230
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
Spencer Weston 1482772
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corp. 43100
Street Address 1 Street Address 2
5701 GOLDEN HILLS DRIVE
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55416
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
Kevin Snow 1941166
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Jason Hohenstein 2673397
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
James Gambaccini 4619759
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
The Strategic Financial Alliance 126514
Street Address 1 Street Address 2
2200 CENTURY PARKWAY SUITE 500
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30345
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
John Hoffman 1582096
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
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
Deanne Tegtmeier 2649519
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD Suite 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
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
Richard Park 4557055
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07302
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
Manuel Ramos 1956224
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
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
Brian Vosberg 4476509
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
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
Michael Parise 5749379
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Svcs 18487
Street Address 1 Street Address 2
4250 VETERANS MEMORIAL HIGHWAY 4TH FLOOR EAST
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 JERSEY
Recipient
Recipient CRD Number    None
Gregg Kiefer 3230611
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Robert Bruner 2260319
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corp. 43100
Street Address 1 Street Address 2
5701 GOLDEN HILLS DRIVE
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55416
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
Shannon Markle 4358151
(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 RD.
City State/Province/Country ZIP/Postal Code
Fairfield IOWA 52556-8757
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 $63,028,537 USD
or    Indefinite
Total Amount Sold $61,577,361 USD
Total Remaining to be Sold $1,451,176 USD
or    Indefinite

Clarification of Response (if Necessary):

Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion.

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:
138

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 $4,979,255 USD
X Estimate
Finders' Fees $0 USD
X Estimate

Clarification of Response (if Necessary):

Sales Commissions includes estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid to one or more Related Persons.

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.

$3,408,257 USD
X Estimate

Clarification of Response (if Necessary):

Item 16 is an estimate of acquisition fees and offering and organizational expenses that may accrues to one or more Related Persons

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 the issuer 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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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
National Multifamily Portfolio II DST /s/ Rahul Sehgal Rahul Sehgal CIO of Sole Member of Signatory Trustee of the Issuer 2018-01-31

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.