Form D Raw Data - Electronic Filing Depository

EFDID: 22255EFD: Raw Data

Issuer: NETREIT, INC. (0001080657) - D/A

Accession: 0001080657-11-000010 () (EDGAR Files) (Form D)

Edgar Posted: Aug. 24, 2011
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0704 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001080657 </ cik >

< entityName > NETREIT, INC. </ entityName >

- < issuerAddress >

< street1 > 1282 PACIFIC OAKS PLACE </ street1 >

< city > ESCONDIDO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029-2900 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 760-471-8536 </ issuerPhoneNumber >

< jurisdictionOfInc > MARYLAND </ jurisdictionOfInc >

- < edgarPreviousNameList >

< previousName > NETREIT </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

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< firstName > Jack </ firstName >

< middleName > Kendrick </ middleName >

< lastName > Heilbron </ lastName >

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< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029 </ zipCode >

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- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< relationshipClarification />

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< firstName > Kenneth </ firstName >

< middleName > Wayne </ middleName >

< lastName > Elsberry </ lastName >

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< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Larry </ firstName >

< middleName > Gene </ middleName >

< lastName > Dubose </ lastName >

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< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

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< zipCode > 92029 </ zipCode >

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< firstName > Sumner </ firstName >

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< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

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< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029 </ zipCode >

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< firstName > Thomas </ firstName >

< middleName > Edward </ middleName >

< lastName > Schwartz </ lastName >

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< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

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< zipCode > 92029 </ zipCode >

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< firstName > Bruce </ firstName >

< middleName > Atwater </ middleName >

< lastName > Staller </ lastName >

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- < relatedPersonAddress >

< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > David </ firstName >

< middleName > Gene </ middleName >

< lastName > Bruen </ lastName >

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< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > John </ firstName >

< middleName > Bradford </ middleName >

< lastName > Hanson </ lastName >

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< street1 > 1282 Pacific Oaks Pl </ street1 >

< city > Escondidon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029-2900 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

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- < relatedPersonName >

< firstName > William </ firstName >

< middleName > Henry </ middleName >

< lastName > Allen </ lastName >

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< street1 > 1282 Pacific Oaks Place </ street1 >

< city > Escondido </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92029 </ zipCode >

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< relationshipClarification />

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- < offeringData >

- < industryGroup >

< industryGroupType > REITS and Finance </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > $5,000,001 - $25,000,000 </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001209191-09-040460 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2007-10-15 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 20000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Alternative Wealth Strategies, Inc. </ associatedBDName >

< associatedBDCRDNumber > 130933 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1040 N. Kings Hwy., Suite 302 </ street1 >

< city > Cherry Hill </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08034 </ zipCode >

</ recipientAddress >

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< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Anthony Kulhanek </ recipientName >

< recipientCRDNumber > 1977093 </ recipientCRDNumber >

< associatedBDName > Bennett Ross, Inc. </ associatedBDName >

< associatedBDCRDNumber > 42850 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 Crescent Court, Suite 1801 </ street1 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Berthel, Fisher & Company Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 701 Tama Street </ street1 >

< street2 > Bldg. B </ street2 >

< city > Marion </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52302 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > n/a </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Calton & Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14497 N. Dale Mabry Hwy. </ street1 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Cape Securities </ associatedBDName >

< associatedBDCRDNumber > 7072 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2005 Pennsylvania Avenue </ street1 >

< city > McDonough </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30253 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

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< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > PR </ state >

< description > PUERTO RICO </ description >

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< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jerry Adams </ recipientName >

< recipientCRDNumber > 822763 </ recipientCRDNumber >

< associatedBDName > Capital Growth Resources </ associatedBDName >

< associatedBDCRDNumber > 7779 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3405 Harvard Ave </ street1 >

< street2 > Suite 1100 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 92022 </ zipCode >

</ recipientAddress >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Capwest Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3900 S. Wadsworth Blvd., Suite 590 </ street1 >

< city > Lakewood </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80235 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 333 City Blvd. West </ street1 >

< street2 > Suite 2010 </ street2 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Chester Harris </ recipientName >

< recipientCRDNumber > 500745 </ recipientCRDNumber >

< associatedBDName > Chester Harris & Company, Inc. </ associatedBDName >

< associatedBDCRDNumber > 7116 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 222 Mamaroneck Avenue </ street1 >

< city > White Plains </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10605 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Melissa Mather </ recipientName >

< recipientCRDNumber > 4697533 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities, L.P. </ associatedBDName >

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 725 Town & Country Road </ street1 >

< street2 > Suite 530 </ street2 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Harris </ recipientName >

< recipientCRDNumber > 500413 </ recipientCRDNumber >

< associatedBDName > David Harris & Co., Inc. </ associatedBDName >

< associatedBDCRDNumber > 45670 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 222 Mamaroneck Avenue </ street1 >

< city > White Plains </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10605 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Direct Capital Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 29639 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1250 S. Capital of Texas Hwy. </ street1 >

< street2 > Bldg. 1, Ste. 410 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Empire Securities Corp. </ associatedBDName >

< associatedBDCRDNumber > 2826 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10 Universal City Plaza, 20th Floor </ street1 >

< city > Universal City </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91608 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Financial Advisors of America, LLC </ associatedBDName >

< associatedBDCRDNumber > 142170 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1930 Palomar Point Way </ street1 >

< street2 > Suite 104 </ street2 >

< city > Carlsbad </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92008 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

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< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason LeBlanc </ recipientName >

< recipientCRDNumber > 2483128 </ recipientCRDNumber >

< associatedBDName > Girard Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18697 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9560 Waples Street </ street1 >

< street2 > Suite B </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92121 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Grant Bettingen, Inc </ associatedBDName >

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4100 Newport Place, #630 </ street1 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard Woollen </ recipientName >

< recipientCRDNumber > 1342719 </ recipientCRDNumber >

< associatedBDName > Harrison Douglas, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16515 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4301 Belknap Road </ street1 >

< city > Charlotte </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 28211 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > IMS Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1500 Citywest Blvd., Suite 500 </ street1 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > William Lowell </ recipientName >

< recipientCRDNumber > 1158722 </ recipientCRDNumber >

< associatedBDName > Lowell & Co., Inc. </ associatedBDName >

< associatedBDCRDNumber > 24913 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1500 Broadway </ street1 >

< street2 > Suite 1208 </ street2 >

< city > Lubbock </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 79401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > MCL Financial Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1869 W. Littleton Blvd. </ street1 >

< city > Littleton </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80120 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Okoboji Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 33727 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1019 Highway 71 South </ street1 >

< city > Okoboji </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 51355 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Omni Brokerage, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16878 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 W. Civic Center Dr., Suite 103 </ street1 >

< city > Sandy </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Private Asset Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 142541 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3070 Bristol Street, Suite 500 </ street1 >

< city > Costa Mesa </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Sammons Securities Company, LLC </ associatedBDName >

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4261 Park Road </ street1 >

< city > Ann Arbor </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Sigma Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4261 Park Road </ street1 >

< city > Ann Arbor </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Sunset Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 3538 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3520 Broadway </ street1 >

< city > Kansas City </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 64111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > VSR Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 14503 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8620 W. 110th Street, Suite 200 </ street1 >

< city > Overland Park </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66210 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Waterford Investor Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46227 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1201 S. Highland Avenue, Suite 2 </ street1 >

< city > Clearwater </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33756 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Wilbanks Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 40673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4334 NW Expressway, Suite 222 </ street1 >

< city > Oklahoma City </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 73116 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Williams Financial Group Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 22704 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12221 Merit Drive, Suite 300 </ street1 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Workman Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 31898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6500 City West Pkwy. #350 </ street1 >

< city > Eden Prairie </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55344 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Clampit </ recipientName >

< recipientCRDNumber > 1278576 </ recipientCRDNumber >

< associatedBDName > American Equity Investment Corp </ associatedBDName >

< associatedBDCRDNumber > 40199 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 42222 Grantline Road </ street1 >

< city > New Albany </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 47150 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kevin Nevin </ recipientName >

< recipientCRDNumber > 2460059 </ recipientCRDNumber >

< associatedBDName > Capital Guardian LLC </ associatedBDName >

< associatedBDCRDNumber > 137919 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 420 Park St </ street1 >

< city > Belmont </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 28012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Harris </ recipientName >

< recipientCRDNumber > 500413 </ recipientCRDNumber >

< associatedBDName > Chester Harris & Co </ associatedBDName >

< associatedBDCRDNumber > 7116 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 222 Mamaroneck </ street1 >

< city > White Plains </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10605 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Chester Harris </ recipientName >

< recipientCRDNumber > 500745 </ recipientCRDNumber >

< associatedBDName > David Harris & Co. </ associatedBDName >

< associatedBDCRDNumber > 45670 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 222 Mamaroneck </ street1 >

< city > White Plains </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10605 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Taseer Badar </ recipientName >

< recipientCRDNumber > 2704754 </ recipientCRDNumber >

< associatedBDName > EDI Financial Inc </ associatedBDName >

< associatedBDCRDNumber > 15699 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12221 Merit Drive </ street1 >

< street2 > Suite 1020 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Fortune Securities, Inc </ associatedBDName >

< associatedBDCRDNumber > 40821 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 388 East Valley Blvd </ street1 >

< street2 > Suite 208 </ street2 >

< city > Alhambra </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91801 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Douglas Shaner </ recipientName >

< recipientCRDNumber > 1699415 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 24501 Del Prado </ street1 >

< street2 > Suite D </ street2 >

< city > Dana Point </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92629 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Zoltan Posa </ recipientName >

< recipientCRDNumber > 4277093 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 41-750 Rancho Las Plamas Road </ street1 >

< street2 > Bldg G </ street2 >

< city > Rancho Mirage </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92270 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Paul Berkemper </ recipientName >

< recipientCRDNumber > 2222925 </ recipientCRDNumber >

< associatedBDName > National Planning Corp </ associatedBDName >

< associatedBDCRDNumber > 29604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10825 Watson Road </ street1 >

< street2 > Suite 100 </ street2 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63127 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Moriarity </ recipientName >

< recipientCRDNumber > 2720704 </ recipientCRDNumber >

< associatedBDName > National Planning Corp </ associatedBDName >

< associatedBDCRDNumber > 29604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1516 Parkway West </ street1 >

< city > Festus </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63028 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > n/a </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Newbridge Securities Corp </ associatedBDName >

< associatedBDCRDNumber > 104065 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1451 West Cyprus Creek Road </ street1 >

< street2 > Suite 204 </ street2 >

< city > Ft. Lauderdale </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33309 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > PR </ state >

< description > PUERTO RICO </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Steven Brodt </ recipientName >

< recipientCRDNumber > 1757324 </ recipientCRDNumber >

< associatedBDName > Newport Coast Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 82-33 Grenfell St. </ street1 >

< city > Kew Gardens </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11415 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ray Kim </ recipientName >

< recipientCRDNumber > 4446196 </ recipientCRDNumber >

< associatedBDName > Newport Coast Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20241 SW Birch St. </ street1 >

< street2 > Suite 100 </ street2 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Aaron Heimowitz </ recipientName >

< recipientCRDNumber > 241866 </ recipientCRDNumber >

< associatedBDName > Newport Coast Seciruties, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8233 Grenfell St. </ street1 >

< city > Kew Gardens </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11415 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Kent, Jr </ recipientName >

< recipientCRDNumber > 2255753 </ recipientCRDNumber >

< associatedBDName > Newport Coast Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 696 1st Ave., N. </ street1 >

< street2 > Suite 200 </ street2 >

< city > St. Petersburg </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Barringer </ recipientName >

< recipientCRDNumber > 1385168 </ recipientCRDNumber >

< associatedBDName > Newport Coast Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6053 S. Quebec St. </ street1 >

< street2 > Suite 200 </ street2 >

< city > Greenwood Village </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Les Anderson </ recipientName >

< recipientCRDNumber > 873403 </ recipientCRDNumber >

< associatedBDName > Wilson-Davis & Co., Inc. </ associatedBDName >

< associatedBDCRDNumber > 3777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4866 Viewmont St. </ street1 >

< city > Halladay </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84117 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > (Wilson) Williams Financial Group </ associatedBDName >

< associatedBDCRDNumber > 22704 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 27111 N. Haskell Ave. </ street1 >

< street2 > Suite 2900 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Dell Raymond Hughes </ recipientName >

< recipientCRDNumber > 1804123 </ recipientCRDNumber >

< associatedBDName > Wilbanks Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 40673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 121 E. Main St. </ street1 >

< city > Jenks </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74037 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OK </ state >

< description > OKLAHOMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > William Brooks </ recipientName >

< recipientCRDNumber > 4856808 </ recipientCRDNumber >

< associatedBDName > Wilbanks Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46227 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 121 E. Main St. </ street1 >

< city > Jenks </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74037 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ivan Norman </ recipientName >

< recipientCRDNumber > 349137 </ recipientCRDNumber >

< associatedBDName > Regal Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 7279 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1330 Gateway Blvd. </ street1 >

< city > Far Rockaway </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11691 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bruce Beetz </ recipientName >

< recipientCRDNumber > 1527269 </ recipientCRDNumber >

< associatedBDName > Oak Tree Securities </ associatedBDName >

< associatedBDCRDNumber > 18126 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > PO Box 1371 </ street1 >

< city > Hollister </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95024 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Fortune Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 40821 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 388 E. Valley Blvd. </ street1 >

< street2 > Suite 208 </ street2 >

< city > Alhambra </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91801 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Harris </ recipientName >

< recipientCRDNumber > 500745 </ recipientCRDNumber >

< associatedBDName > Chester Harris & Co. </ associatedBDName >

< associatedBDCRDNumber > 7116 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 222 Mamaroneck Ave. </ street1 >

< city > White Plains </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10605 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Vernon Lucas Albright </ recipientName >

< recipientCRDNumber > 1346110 </ recipientCRDNumber >

< associatedBDName > Workman Securities Corp. </ associatedBDName >

< associatedBDCRDNumber > 31898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2310 West Arthur Ave. </ street1 >

< street2 > Suite 3 </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60645 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Ruff </ recipientName >

< recipientCRDNumber > 1988736 </ recipientCRDNumber >

< associatedBDName > Sunset Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 3538 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2225 Perryton Pkwy </ street1 >

< city > Pampa </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 79065 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > United Equity Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 47261 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10700 Richmond Ave. </ street1 >

< street2 > Suite 252 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > na </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Steven Falk & Assoc., Inc. </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11280 Granite Ridge Dr. </ street1 >

< street2 > Suite 1042 </ street2 >

< city > Las Vegas </ city >

< stateOrCountry > NV </ stateOrCountry >

< stateOrCountryDescription > NEVADA </ stateOrCountryDescription >

< zipCode > 89135 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark Tidwell </ recipientName >

< recipientCRDNumber > 2612587 </ recipientCRDNumber >

< associatedBDName > Sunbelt Securities </ associatedBDName >

< associatedBDCRDNumber > 42180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1800 Saint James Place </ street1 >

< street2 > Suite 212 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sang Shin </ recipientName >

< recipientCRDNumber > 4411872 </ recipientCRDNumber >

< associatedBDName > Wilbanks Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 40673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 950 N. Milwaukee </ street1 >

< street2 > Suite 322 </ street2 >

< city > Glenview </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60025 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeremy Winters </ recipientName >

< recipientCRDNumber > 4441549 </ recipientCRDNumber >

< associatedBDName > Wilbanks Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46227 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 952 Park Hollow Way </ street1 >

< city > Lawrenceville </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30043 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jamie Ellis </ recipientName >

< recipientCRDNumber > 2246996 </ recipientCRDNumber >

< associatedBDName > Calton & Associates, INc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8353 DepewWay </ street1 >

< city > Arvada </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80003 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > R. William Manning </ recipientName >

< recipientCRDNumber > 4493368 </ recipientCRDNumber >

< associatedBDName > MCL Financial Group Inc. </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 32065 Castle Court </ street1 >

< street2 > Suite 300 </ street2 >

< city > Evergreen </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80439 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gene walter </ recipientName >

< recipientCRDNumber > 851987 </ recipientCRDNumber >

< associatedBDName > MCL Financial Gruop </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11001 W. 120th Ave. </ street1 >

< city > Broomfield </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80021 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Yi-Chen Yang </ recipientName >

< recipientCRDNumber > 4024717 </ recipientCRDNumber >

< associatedBDName > MCL Financial Group </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12600 W. Colfax Ave. </ street1 >

< street2 > Suite C-480 </ street2 >

< city > Lakewood </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80215 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Carpinello </ recipientName >

< recipientCRDNumber > 3256507 </ recipientCRDNumber >

< associatedBDName > MCL Financial Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2629 W. Main St. </ street1 >

< street2 > Suite 120 </ street2 >

< city > Littleton </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80120 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gregory Anderson </ recipientName >

< recipientCRDNumber > 1722546 </ recipientCRDNumber >

< associatedBDName > MCL Financial Group </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2629 W. Main St. </ street1 >

< street2 > Suite 120 </ street2 >

< city > Littleton </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80120 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Gingus </ recipientName >

< recipientCRDNumber > 1332507 </ recipientCRDNumber >

< associatedBDName > MCL Financial Group </ associatedBDName >

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2629 W. Main St. </ street1 >

< street2 > Suite 120 </ street2 >

< city > Littleton </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80120 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 200000000 </ totalOfferingAmount >

< totalAmountSold > 82400000 </ totalAmountSold >

< totalRemaining > 117600000 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > true </ hasNonAccreditedInvestors >

< numberNonAccreditedInvestors > 2 </ numberNonAccreditedInvestors >

< totalNumberAlreadyInvested > 1870 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 16000000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > NETREIT, INC. </ issuerName >

< signatureName > Jack K. Heilbron </ signatureName >

< nameOfSigner > Jack K. Heilbron </ nameOfSigner >

< signatureTitle > Chairman and CEO </ signatureTitle >

< signatureDate > 2011-08-24 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >