Form D Raw Data - Electronic Filing Depository

EFDID: 14201EFD: Raw Data

Issuer: John Hancock Life Insurance Co (U.S.A.) Separate Account P (0001452178) - D/A

Accession: 0001209191-22-053214 () (EDGAR Files) (Form D)

Edgar Posted: Oct. 11, 2022
EFD Posted: Oct. 11, 2022

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001452178 </ cik >

< entityName > John Hancock Life Insurance Co (U.S.A.) Separate Account P </ entityName >

- < issuerAddress >

< street1 > 197 Clarendon Street </ street1 >

< city > Boston </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02116 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 800-521-1234 </ issuerPhoneNumber >

< jurisdictionOfInc > MICHIGAN </ jurisdictionOfInc >

- < issuerPreviousNameList >

< previousName > John Hancock Life Insurance Co. (U.S.A.) Separate Account P </ previousName >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Other </ entityType >

< entityTypeOtherDesc > Insurance Company Separate Investment Account </ entityTypeOtherDesc >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > John Hancock Life Insurance Company (U.S.A.) </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 197 Clarendon Street </ street1 >

< city > Boston </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02116 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Other Investment Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06c </ item >

< item > 3C.7 </ item >

< item > 3C </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001209191-20-064760 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2008-12-08 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Interests in the Separate Account issued pursuant to Variable Life Insurance Policies. </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 100000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > John Ramsey </ recipientName >

< recipientCRDNumber > 2027520 </ recipientCRDNumber >

< associatedBDName > Signator Investors </ associatedBDName >

< associatedBDCRDNumber > 468 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 197 Clarendon Street </ street1 >

< city > Boston </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02116 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Donald Friedman </ recipientName >

< recipientCRDNumber > 1023219 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > David Gagnon </ recipientName >

< recipientCRDNumber > 1734379 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Michael Corrigan </ recipientName >

< recipientCRDNumber > 865125 </ recipientCRDNumber >

< associatedBDName > ProEquities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 322 N. Nopal Street </ street1 >

< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Daniel Wagner </ recipientName >

< recipientCRDNumber > 2653222 </ recipientCRDNumber >

< associatedBDName > ProEquities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 16654 Chesterfield Farms Drive </ street1 >

< city > Chesterfield </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63005 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > William Granville </ recipientName >

< recipientCRDNumber > 2625844 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 Riverway </ street1 >

< street2 > Suite 900 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > William Borchert </ recipientName >

< recipientCRDNumber > 1057817 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 Riverway </ street1 >

< street2 > Suite 900 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

< statesOfSolicitationList />

</ recipient >

- < recipient >

< recipientName > James Cheney </ recipientName >

< recipientCRDNumber > 45355 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1400 Williams Street </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37408 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Todd Mezrah </ recipientName >

< recipientCRDNumber > 2313891 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5350 West Kennedy Boulevard </ street1 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33609 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > William Solfisburg </ recipientName >

< recipientCRDNumber > 870776 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 224 Hinckley Road </ street1 >

< city > MILTON </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02186 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Stephen Kaufman </ recipientName >

< recipientCRDNumber > 1022273 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5120 Woodway </ street1 >

< street2 > Suite 6002 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard Melnick </ recipientName >

< recipientCRDNumber > 4399110 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5120 Woodway </ street1 >

< street2 > Suite 6002 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Carlos Huerta </ recipientName >

< recipientCRDNumber > 3042039 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5120 Woodway </ street1 >

< street2 > Suite 6002 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Jeffrey Davis </ recipientName >

< recipientCRDNumber > 2187246 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2467 Country Club Loop </ street1 >

< city > Westminster </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80234 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > James Wagner </ recipientName >

< recipientCRDNumber > 1443094 </ recipientCRDNumber >

< associatedBDName > Capital Analysts, Incorporated </ associatedBDName >

< associatedBDCRDNumber > 5478 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13811 Clayton Road </ street1 >

< city > Town and Country </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63014 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Gus Comiskey </ recipientName >

< recipientCRDNumber > 1019082 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5120 Woodway </ street1 >

< street2 > Suite 6002 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Daryl Brockman </ recipientName >

< recipientCRDNumber > 1960335 </ recipientCRDNumber >

< associatedBDName > Signator Investors </ associatedBDName >

< associatedBDCRDNumber > 468 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8607 Westwood Center Drive </ street1 >

< street2 > Suite 300 </ street2 >

< city > Vienna </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 22182 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MS </ state >

< description > MISSISSIPPI </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Raymond Layman </ recipientName >

< recipientCRDNumber > 4131553 </ recipientCRDNumber >

< associatedBDName > First Legacy Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 47079 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3617 Summerford Drive </ street1 >

< city > Marietta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30062 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MS </ state >

< description > MISSISSIPPI </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Kevin Conley </ recipientName >

< recipientCRDNumber > 1434976 </ recipientCRDNumber >

< associatedBDName > Signator Investors </ associatedBDName >

< associatedBDCRDNumber > 468 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8607 Westwood Center Drive </ street1 >

< street2 > Suite 300 </ street2 >

< city > Vienna </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 22182 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Glenn Blackwood </ recipientName >

< recipientCRDNumber > 1354238 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 Ross Avenue </ street1 >

< street2 > Suite 2200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201-7906 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Jason Prather </ recipientName >

< recipientCRDNumber > 4669803 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 S. Commerce </ street1 >

< street2 > Suite 350 </ street2 >

< city > Little Rock </ city >

< stateOrCountry > AR </ stateOrCountry >

< stateOrCountryDescription > ARKANSAS </ stateOrCountryDescription >

< zipCode > 72201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Robert Leeper </ recipientName >

< recipientCRDNumber > 1635925 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 S. Commerce </ street1 >

< street2 > Suite 350 </ street2 >

< city > Little Rock </ city >

< stateOrCountry > AR </ stateOrCountry >

< stateOrCountryDescription > ARKANSAS </ stateOrCountryDescription >

< zipCode > 72201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Stephen Whipple </ recipientName >

< recipientCRDNumber > 1305851 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 S.Commerce </ street1 >

< street2 > Suite 350 </ street2 >

< city > Little Rock </ city >

< stateOrCountry > AR </ stateOrCountry >

< stateOrCountryDescription > ARKANSAS </ stateOrCountryDescription >

< zipCode > 72201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > David Larson </ recipientName >

< recipientCRDNumber > 4501375 </ recipientCRDNumber >

< associatedBDName > Signator Investors </ associatedBDName >

< associatedBDCRDNumber > 468 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 197 Clarendon St. </ street1 >

< city > Boston </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02113 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Thomas Lynch </ recipientName >

< recipientCRDNumber > 1023219 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Bobby Whitfield Jr </ recipientName >

< recipientCRDNumber > 3496 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Wayne Cravens </ recipientName >

< recipientCRDNumber > 1678891 </ recipientCRDNumber >

< associatedBDName > FSC Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1080 Interstate Dr. </ street1 >

< city > Cookeville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 38501 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Jose Garza </ recipientName >

< recipientCRDNumber > 3172270 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 Ross Ave. </ street1 >

< street2 > Suite 2200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Jeremy Knobel </ recipientName >

< recipientCRDNumber > 4315867 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 Ross Ave. </ street1 >

< street2 > Suite 2200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MI </ state >

< description > MICHIGAN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Michael Layne </ recipientName >

< recipientCRDNumber > 1937024 </ recipientCRDNumber >

< associatedBDName > Signator Investors, Inc. </ associatedBDName >

< associatedBDCRDNumber > 468 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9410 Atlee Commerce Boulevard </ street1 >

< street2 > Suite 3 </ street2 >

< city > Ashland </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23005 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > James R. Cole </ recipientName >

< recipientCRDNumber > 2941597 </ recipientCRDNumber >

< associatedBDName > BOSC, INC. </ associatedBDName >

< associatedBDCRDNumber > 17530 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Williams Center </ street1 >

< street2 > Plaza Southeast </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74172 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OK </ state >

< description > OKLAHOMA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Judson Gray Teekell </ recipientName >

< recipientCRDNumber > 841689 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > LA </ state >

< description > LOUISIANA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > David Byers </ recipientName >

< recipientCRDNumber > 2653460 </ recipientCRDNumber >

< associatedBDName > FNBB Capital Markets, LLC </ associatedBDName >

< associatedBDCRDNumber > 132091 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Two Metroplex Drive </ street1 >

< street2 > Suite 111 </ street2 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Joseph Crea </ recipientName >

< recipientCRDNumber > 2110561 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > David Emery </ recipientName >

< recipientCRDNumber > 1984877 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2106 28th Street </ street1 >

< street2 > CRT NW </ street2 >

< city > Gig Harbor </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98335 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Wesley Caudell </ recipientName >

< recipientCRDNumber > 132091 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Stephen Coale </ recipientName >

< recipientCRDNumber > 1292536 </ recipientCRDNumber >

< associatedBDName > Amherst Securities Group, L.P. </ associatedBDName >

< associatedBDCRDNumber > 31141 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1300 Post Oak Blvd. </ street1 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 31141 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Steven Goldberg </ recipientName >

< recipientCRDNumber > 2890212 </ recipientCRDNumber >

< associatedBDName > J. ALDEN ASSOCIATES, INC. </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 261 OLD YORK ROAD </ street1 >

< street2 > SUITE 837 </ street2 >

< city > JENKINTOWN </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Bennett Meyer </ recipientName >

< recipientCRDNumber > 1495939 </ recipientCRDNumber >

< associatedBDName > J. ALDEN ASSOCIATES, INC. </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 261 OLD YORK ROAD </ street1 >

< street2 > SUITE 837 </ street2 >

< city > JENKINTOWN </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > John Ellis </ recipientName >

< recipientCRDNumber > 1089311 </ recipientCRDNumber >

< associatedBDName > CUNA BROKERAGE </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10942 SAINT MARYS LN </ street1 >

< city > HOUSTON </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77079 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard Boothby </ recipientName >

< recipientCRDNumber > 1497536 </ recipientCRDNumber >

< associatedBDName > NFP SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1662 MARRLYN RD </ street1 >

< city > FORT MYERS </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard Brock </ recipientName >

< recipientCRDNumber > 1209197 </ recipientCRDNumber >

< associatedBDName > NFP SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1662 MARRLYN RD </ street1 >

< city > FORT MYERS </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > David Soczek </ recipientName >

< recipientCRDNumber > 2316655 </ recipientCRDNumber >

< associatedBDName > PROEQUITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1550 UTICA AVENUE SOUTH </ street1 >

< street2 > SUITE 400 </ street2 >

< city > MINNEAPOLIS </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55416 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Robert J. Kozloski II </ recipientName >

< recipientCRDNumber > 3060557 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Mero Capo </ recipientName >

< recipientCRDNumber > 2361898 </ recipientCRDNumber >

< associatedBDName > NFP SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 115 VIP DRIVE </ street1 >

< street2 > SUITE 120 </ street2 >

< city > WEXFORD </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 15086 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Michael Nolan </ recipientName >

< recipientCRDNumber > 1157483 </ recipientCRDNumber >

< associatedBDName > LINCOLN FINANCIAL ADVISORS CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2 WISCONSIN CIRCLE </ street1 >

< street2 > SUITE 810 </ street2 >

< city > CHEVY CHASE </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20815 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Jay Petty </ recipientName >

< recipientCRDNumber > 2895602 </ recipientCRDNumber >

< associatedBDName > CUNA BROKERAGE SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7040 NIGHTHAWK COURT </ street1 >

< city > CARLSBAD </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92011 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Robert M Rushing </ recipientName >

< recipientCRDNumber > 1331167 </ recipientCRDNumber >

< associatedBDName > THE LEADERS GROUP, INC. </ associatedBDName >

< associatedBDCRDNumber > 37157 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 26 W. DRY CREEK CIRCLE </ street1 >

< street2 > SUITE 575 </ street2 >

< city > LITTLETON </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80120-4475 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Matthew Henebry </ recipientName >

< recipientCRDNumber > 2711438 </ recipientCRDNumber >

< associatedBDName > CLARK SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 ROSS AVENUE </ street1 >

< street2 > SUITE 2200 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201-7906 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > John Sproule </ recipientName >

< recipientCRDNumber > 2396821 </ recipientCRDNumber >

< associatedBDName > CUNA BROKERAGE SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 167 ALFRED LADD </ street1 >

< city > FRANKLIN </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37064 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Mark Duder </ recipientName >

< recipientCRDNumber > 2630357 </ recipientCRDNumber >

< associatedBDName > SECURITIES AMERICA, INC. </ associatedBDName >

< associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 15750 VENTURE LANE </ street1 >

< city > EDEN PRAIRIE </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55344 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MI </ state >

< description > MICHIGAN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > John Pesh </ recipientName >

< recipientCRDNumber > 4241880 </ recipientCRDNumber >

< associatedBDName > PROEQUITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1550 UTICA AVENUE SOUTH </ street1 >

< street2 > SUITE 400 </ street2 >

< city > MINNEAPOLIS </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55416 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MI </ state >

< description > MICHIGAN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Albert Schiff </ recipientName >

< recipientCRDNumber > 413287 </ recipientCRDNumber >

< associatedBDName > NYLIFE SECURITIES LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 281 TRESSER BLVD. </ street1 >

< street2 > SUITE 1110 </ street2 >

< city > STAMFORD </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > KS </ state >

< description > KANSAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Louis Moore </ recipientName >

< recipientCRDNumber > 2465135 </ recipientCRDNumber >

< associatedBDName > INDEPENDENCE CAPITAL CO., INC. </ associatedBDName >

< associatedBDCRDNumber > 24723 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5579 PEARL ROAD </ street1 >

< street2 > SUITE 100 </ street2 >

< city > PARMA </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44129 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Andy Roller </ recipientName >

< recipientCRDNumber > 4440500 </ recipientCRDNumber >

< associatedBDName > CFD INVESTMENTS, INC. </ associatedBDName >

< associatedBDCRDNumber > 25427 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2704 S GOYER RD </ street1 >

< city > KOKOMO </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46902 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Todd Andritsch </ recipientName >

< recipientCRDNumber > 4587201 </ recipientCRDNumber >

< associatedBDName > PROEQUITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10051 WILD TURKEY ROW </ street1 >

< city > MCCORDSVILLE </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46055 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Steven Cochlan </ recipientName >

< recipientCRDNumber > 1073586 </ recipientCRDNumber >

< associatedBDName > LPL FINANCIAL LLC </ associatedBDName >

< associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 WALKER AVE </ street1 >

< city > CLAREDON HILLS </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60514 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Alan Meltzer </ recipientName >

< recipientCRDNumber > 1092083 </ recipientCRDNumber >

< associatedBDName > MML INVESTORS SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 10409 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6500 ROCK SPRING DRIVE </ street1 >

< street2 > SUITE 400 </ street2 >

< city > BETHESDA </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20817 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Matthew E Schiff </ recipientName >

< recipientCRDNumber > 2081669 </ recipientCRDNumber >

< associatedBDName > VALMARK SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 51 HADDONFIELD RD. </ street1 >

< street2 > SUITE 125 </ street2 >

< city > CHERRY HILL </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08002 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Michael Bremer </ recipientName >

< recipientCRDNumber > 1728513 </ recipientCRDNumber >

< associatedBDName > CUNA BROKERAGE SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5308 BREAKERS WAY </ street1 >

< city > CARMEL </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46033 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Lynn Butkus </ recipientName >

< recipientCRDNumber > 1776381 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Ronald Paulseen </ recipientName >

< recipientCRDNumber > 358288 </ recipientCRDNumber >

< associatedBDName > NYLIFE SECURITIES LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 281 TRESSER BLVD. </ street1 >

< street2 > SUITE 1110 </ street2 >

< city > STAMFORD </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KS </ state >

< description > KANSAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Aeramy Paulseen </ recipientName >

< recipientCRDNumber > 4317087 </ recipientCRDNumber >

< associatedBDName > NYLIFE SECURITIES LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 281 TRESSER BLVD. </ street1 >

< street2 > SUITE 1110 </ street2 >

< city > STAMFORD </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KS </ state >

< description > KANSAS </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Karl Marzocchi </ recipientName >

< recipientCRDNumber > 322028 </ recipientCRDNumber >

< associatedBDName > CUNA BROKERAGE SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3393 DIAMOND HILL RD </ street1 >

< city > CUMBERLAND </ city >

< stateOrCountry > RI </ stateOrCountry >

< stateOrCountryDescription > RHODE ISLAND </ stateOrCountryDescription >

< zipCode > 02864 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Everett Noack </ recipientName >

< recipientCRDNumber > 1491187 </ recipientCRDNumber >

< associatedBDName > BOSC, INC </ associatedBDName >

< associatedBDCRDNumber > 17530 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4220 N. RODNEY PARHAM RD </ street1 >

< street2 > SUITE 300 </ street2 >

< city > LITTLE ROCK </ city >

< stateOrCountry > AR </ stateOrCountry >

< stateOrCountryDescription > ARKANSAS </ stateOrCountryDescription >

< zipCode > 72212 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > William Chatfield </ recipientName >

< recipientCRDNumber > 1053051 </ recipientCRDNumber >

< associatedBDName > J.Alden Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 261 Old York Road </ street1 >

< street2 > Suite 837 </ street2 >

< city > Jenkintown </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Brian Sheldon </ recipientName >

< recipientCRDNumber > 4709079 </ recipientCRDNumber >

< associatedBDName > J. Alden Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 261 Old York Road </ street1 >

< street2 > Suite 837 </ street2 >

< city > Jenkintown </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Bryant Kirk </ recipientName >

< recipientCRDNumber > 1049653 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 43803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 Ross Avenue </ street1 >

< street2 > Suite 2200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201-7906 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > J. Dave Hunter </ recipientName >

< recipientCRDNumber > 253478 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Gerald Middel </ recipientName >

< recipientCRDNumber > 333791 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Cameron McElhany </ recipientName >

< recipientCRDNumber > 5640818 </ recipientCRDNumber >

< associatedBDName > NYLIFE Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 5167 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 281 Tressler Blvd. </ street1 >

< street2 > Suite 1110 </ street2 >

< city > Stamford </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Arnold Winick </ recipientName >

< recipientCRDNumber > 5246949 </ recipientCRDNumber >

< associatedBDName > J.Alden Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 261 Old York Road </ street1 >

< street2 > Suite 837 </ street2 >

< city > Jenkintown </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Joseph Kelly </ recipientName >

< recipientCRDNumber > 1542651 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1250 Tower Lane </ street1 >

< city > Erie </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 16505 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Charles Provow </ recipientName >

< recipientCRDNumber > 709844 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard Deutsch </ recipientName >

< recipientCRDNumber > 1190666 </ recipientCRDNumber >

< associatedBDName > HBW Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 136959 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6802 Paragon Place </ street1 >

< street2 > Suite 126 </ street2 >

< city > Richmond </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23230 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Donald Curristan </ recipientName >

< recipientCRDNumber > 3049436 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 N.W. Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > John Moreno </ recipientName >

< recipientCRDNumber > 3132915 </ recipientCRDNumber >

< associatedBDName > CUNA Brokerage Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2009 E Cedar Pl </ street1 >

< city > Chandler </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85249 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Lon P. Haines </ recipientName >

< recipientCRDNumber > 4839815 </ recipientCRDNumber >

< associatedBDName > Independence Capital Co., Inc. </ associatedBDName >

< associatedBDCRDNumber > 24723 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5579 Pearl Road </ street1 >

< street2 > Suite 100 </ street2 >

< city > Parma </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44129 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Andrew Roquet </ recipientName >

< recipientCRDNumber > 5480983 </ recipientCRDNumber >

< associatedBDName > CUNA Brokerage Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5710 Mineral Point Road </ street1 >

< city > Madison </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53719 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Ronald Krizek </ recipientName >

< recipientCRDNumber > 807430 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 500 Elm Grove Road </ street1 >

< street2 > Suite 103 </ street2 >

< city > Elm Grove </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53122 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Scott Krizek </ recipientName >

< recipientCRDNumber > 2435201 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 500 Elm Grove Road </ street1 >

< street2 > Suite 103 </ street2 >

< city > Elm Grove </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53122 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Bruce Bauer </ recipientName >

< recipientCRDNumber > 1210726 </ recipientCRDNumber >

< associatedBDName > CUNA Brokerage Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7769 E Overlook Drive </ street1 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85255 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Michael Downey </ recipientName >

< recipientCRDNumber > 2944180 </ recipientCRDNumber >

< associatedBDName > CUNA Brokerage Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 753 Masons Beach </ street1 >

< city > Deale </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20751 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard J Brock </ recipientName >

< recipientCRDNumber > 1209197 </ recipientCRDNumber >

< associatedBDName > NFP SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1816 EAST SEVENTH STREET </ street1 >

< city > CHARLOTTE </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 28204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > George Diamantis </ recipientName >

< recipientCRDNumber > 1311320 </ recipientCRDNumber >

< associatedBDName > LPL FINANCIAL LLC </ associatedBDName >

< associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3580 PIERCE DRIVE </ street1 >

< street2 > SUITE 100 </ street2 >

< city > CHAMBLEE </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30341 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Mark Wilson </ recipientName >

< recipientCRDNumber > 2049281 </ recipientCRDNumber >

< associatedBDName > CUNA BROKERAGE SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4284 SADDLEWOOD FOREST DRIVE </ street1 >

< city > WINSTON SALEM </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27106 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Louis C. Ciliberti </ recipientName >

< recipientCRDNumber > 2074634 </ recipientCRDNumber >

< associatedBDName > AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1800 WALT WHITMAN RD </ street1 >

< street2 > SUITE 100 </ street2 >

< city > MELVILLE </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11747 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard Brock </ recipientName >

< recipientCRDNumber > 1209197 </ recipientCRDNumber >

< associatedBDName > NFP SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2106 28TH ST CRT NW </ street1 >

< city > GIG HARBOR </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98335 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > James Cheney </ recipientName >

< recipientCRDNumber > 45355 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Mark W. Boomgaarden </ recipientName >

< recipientCRDNumber > 3121019 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Douglas P. Dreyer </ recipientName >

< recipientCRDNumber > 4007479 </ recipientCRDNumber >

< associatedBDName > NORTWESTERN MUTUAL INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 875 3rd Ave </ street1 >

< street2 > FL 23 </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Robert Scott Richardson </ recipientName >

< recipientCRDNumber > 2167420 </ recipientCRDNumber >

< associatedBDName > Lion Street Financial, LLC </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2400 Big Timber Rd </ street1 >

< street2 > Ste 103A </ street2 >

< city > Elgin </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60124 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MI </ state >

< description > MICHIGAN </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > PAUL E. EVANS </ recipientName >

< recipientCRDNumber > 713063 </ recipientCRDNumber >

< associatedBDName > SECURITIES AMERICA, INC. </ associatedBDName >

< associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 16677 DULUTH AVE. SE </ street1 >

< city > PRIOR LAKE </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55372 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > DAVID A. SOCZEK </ recipientName >

< recipientCRDNumber > 2316655 </ recipientCRDNumber >

< associatedBDName > PROEQUITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1550 UTICA AVENUE SOUTH </ street1 >

< street2 > SUITE 400 </ street2 >

< city > MINNEAPOLIS </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55416 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Shirley Ann Huang McMillan </ recipientName >

< recipientCRDNumber > 2027520 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St. </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Richard J. Brock </ recipientName >

< recipientCRDNumber > 1209197 </ recipientCRDNumber >

< associatedBDName > Kestra Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4250 Congress Street </ street1 >

< street2 > Suite 225 </ street2 >

< city > Charlotte </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 28209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

</ recipient >

- < recipient >

< recipientName > Danielle R. Scodellaro </ recipientName >

< recipientCRDNumber > 6131256 </ recipientCRDNumber >

< associatedBDName > CUNA Brokerage Services </ associatedBDName >

< associatedBDCRDNumber > 13941 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5910 Mineral Point Road </ street1 >

< city > Madison </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53705 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 663737176 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 252 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 40000000 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse > As the issuer of the variable life insurance policies, JH Life Insurance Company (U.S.A.) will receive amounts from charges deducted under policies, but no executive officer, director, or promoter will receive any portion of the gross offering proceeds. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > John Hancock Life Insurance Co (U.S.A.) Separate Account P </ issuerName >

< signatureName > /s/ James C. Hoodlet </ signatureName >

< nameOfSigner > James C. Hoodlet </ nameOfSigner >

< signatureTitle > Vice President and Chief Counsel </ signatureTitle >

< signatureDate > 2022-10-11 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >