Form D Raw Data - Electronic Filing Depository

EFDID: 40635EFD: Raw Data

Issuer: BRG Petroleum LLC (0001400821) - D/A

Accession: 0001400821-11-000003 () (EDGAR Files) (Form D)

Edgar Posted: Dec. 30, 2011
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0704 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001400821 </ cik >

< entityName > BRG Petroleum LLC </ entityName >

- < issuerAddress >

< street1 > 7134 South Yale Ave </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 918-496-2626 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Liability Company </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > James </ firstName >

< middleName > L </ middleName >

< lastName > Burkhart </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 7134 South Yale </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > B </ firstName >

< middleName > J </ middleName >

< lastName > Reid </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 7134 South Yale </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< middleName > W </ middleName >

< lastName > Burkhart </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 7134 South Yale </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > E </ middleName >

< lastName > Gee </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 7134 South Yale </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Clyde </ firstName >

< middleName > F </ middleName >

< lastName > Wootton </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 7134 South Yale </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Steven </ firstName >

< middleName > J </ middleName >

< lastName > Williams </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 7134 South Yale </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Scott </ firstName >

< middleName > S </ middleName >

< lastName > Gruns </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 7134 South Yale </ street1 >

< street2 > Suite 600 </ street2 >

< city > Tulsa </ city >

< stateOrCountry > OK </ stateOrCountry >

< stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >

< zipCode > 74136 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Oil and Gas </ industryGroupType >

</ industryGroup >

- < issuerSize >

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

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001400821-11-000002 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2011-08-08 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isMineralPropertyType > true </ isMineralPropertyType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 5000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Nicholas Cochran </ recipientName >

< recipientCRDNumber > 713570 </ recipientCRDNumber >

< associatedBDName > LSY, Inc. dba American Investors Company Inc </ associatedBDName >

< associatedBDCRDNumber > 38 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2682 Bishop Drive </ street1 >

< street2 > Suite 123 </ street2 >

< city > San Ramon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94583 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > A J Houston </ recipientName >

< recipientCRDNumber > 1379223 </ recipientCRDNumber >

< associatedBDName > LSY, Inc. dba American Investors Company Inc </ associatedBDName >

< associatedBDCRDNumber > 38 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2682 Bishop Drive </ street1 >

< street2 > Suite 123 </ street2 >

< city > San Ramon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94583 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jack Kenny </ recipientName >

< recipientCRDNumber > 268043 </ recipientCRDNumber >

< associatedBDName > LSY, Inc. dba American Investors Company Inc </ associatedBDName >

< associatedBDCRDNumber > 38 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2682 Bishop Drive </ street1 >

< street2 > Suite 123 </ street2 >

< city > San Ramon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94583 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joel Knight </ recipientName >

< recipientCRDNumber > 1379212 </ recipientCRDNumber >

< associatedBDName > LSY, Inc. dba American Investors Company Inc </ associatedBDName >

< associatedBDCRDNumber > 38 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2682 Bishop Drive </ street1 >

< street2 > Suite 123 </ street2 >

< city > San Ramon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94583 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Clarence Yee </ recipientName >

< recipientCRDNumber > 474356 </ recipientCRDNumber >

< associatedBDName > LSY, Inc. dba American Investors Company Inc </ associatedBDName >

< associatedBDCRDNumber > 38 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2682 Bishop Drive </ street1 >

< street2 > Suite 123 </ street2 >

< city > San Ramon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94583 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Linda Jacobs </ recipientName >

< recipientCRDNumber > 1364475 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research Inc </ associatedBDName >

< associatedBDCRDNumber > 395543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1776 Pleasant Plain Road </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Paine </ recipientName >

< recipientCRDNumber > 1608059 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research Inc </ associatedBDName >

< associatedBDCRDNumber > 395543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1776 Pleasant Plain Road </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bryan Kocen </ recipientName >

< recipientCRDNumber > 2119036 </ recipientCRDNumber >

< associatedBDName > Financial Goal Securities Inc </ associatedBDName >

< associatedBDCRDNumber > 19066 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 35900 Bob Hope Drive </ street1 >

< street2 > Suite 202 </ street2 >

< city > Rancho Mirage </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92270 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gail Kocen </ recipientName >

< recipientCRDNumber > 2259803 </ recipientCRDNumber >

< associatedBDName > Financial Goal Securities Inc </ associatedBDName >

< associatedBDCRDNumber > 19066 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 35900 Bob Hope Drive </ street1 >

< street2 > Suite 202 </ 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 > Joel Kocen </ recipientName >

< recipientCRDNumber > 1306954 </ recipientCRDNumber >

< associatedBDName > Financial Goal Securities Inc </ associatedBDName >

< associatedBDCRDNumber > 19066 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 35900 Bob Hope Drive </ street1 >

< street2 > Suite 202 </ street2 >

< city > Rancho Mirage </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92270 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kenneth Foreman </ recipientName >

< recipientCRDNumber > 2284242 </ recipientCRDNumber >

< associatedBDName > Foothill Securities Inc </ associatedBDName >

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bob Cannon </ recipientName >

< recipientCRDNumber > 2765289 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > S Katherine Campbell </ recipientName >

< recipientCRDNumber > 2377541 </ recipientCRDNumber >

< associatedBDName > Protected Investors of America </ associatedBDName >

< associatedBDCRDNumber > 6082 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 235 Montgomery Street </ street1 >

< street2 > Suite 1050 </ street2 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Russell Ketron </ recipientName >

< recipientCRDNumber > 26772 </ recipientCRDNumber >

< associatedBDName > Protected Investors of America </ associatedBDName >

< associatedBDCRDNumber > 6082 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 235 Montgomery Street </ street1 >

< street2 > Suite 1050 </ street2 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Carolyn Bell </ recipientName >

< recipientCRDNumber > 2431210 </ recipientCRDNumber >

< associatedBDName > Stanford Investment Group Inc </ associatedBDName >

< associatedBDCRDNumber > 103331 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2570 West El Camino Real </ street1 >

< street2 > Suite 520 </ street2 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94040 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Helen Dietz </ recipientName >

< recipientCRDNumber > 1268071 </ recipientCRDNumber >

< associatedBDName > Stanford Investment Group Inc </ associatedBDName >

< associatedBDCRDNumber > 103331 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2570 West El Camino Real </ street1 >

< street2 > Suite 520 </ street2 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94040 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Donald Finsthwait </ recipientName >

< recipientCRDNumber > 208106 </ recipientCRDNumber >

< associatedBDName > Stanford Investment Group Inc </ associatedBDName >

< associatedBDCRDNumber > 103331 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2580 West El Camino Real </ street1 >

< street2 > Suite 520 </ street2 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94040 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert E Gee </ recipientName >

< recipientCRDNumber > 219226 </ recipientCRDNumber >

< associatedBDName > Stanford Investment Group Inc </ associatedBDName >

< associatedBDCRDNumber > 103331 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2570 West El Camino Real </ street1 >

< street2 > Suite 520 </ street2 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94040 </ 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 > HI </ state >

< description > HAWAII </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey Keimer </ recipientName >

< recipientCRDNumber > 845620 </ recipientCRDNumber >

< associatedBDName > Stanford Investment Group Inc </ associatedBDName >

< associatedBDCRDNumber > 103331 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2570 West El Camino Real </ street1 >

< street2 > Suite 520 </ street2 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94040 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ben Wong </ recipientName >

< recipientCRDNumber > 1211472 </ recipientCRDNumber >

< associatedBDName > Financial Telesis Inc </ associatedBDName >

< associatedBDCRDNumber > 031012 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4340 Redwood Hwy </ street1 >

< street2 > Suite A23 </ street2 >

< city > San Rafael </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94903 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Dieter Kaelker </ recipientName >

< recipientCRDNumber > 1042354 </ recipientCRDNumber >

< associatedBDName > Foothill Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel McCourt </ recipientName >

< recipientCRDNumber > 1336258 </ recipientCRDNumber >

< associatedBDName > Foothill Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Martin Shapiro </ recipientName >

< recipientCRDNumber > 1386124 </ recipientCRDNumber >

< associatedBDName > Foothill Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mary Warga </ recipientName >

< recipientCRDNumber > 874496 </ recipientCRDNumber >

< associatedBDName > Foothill Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Fred Baerenz </ recipientName >

< recipientCRDNumber > 2388453 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen Carlton </ recipientName >

< recipientCRDNumber > 2057583 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Donna Carlton </ recipientName >

< recipientCRDNumber > 851266 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MIchael McDougall </ recipientName >

< recipientCRDNumber > 1497015 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kian Nobari </ recipientName >

< recipientCRDNumber > 4707564 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Mowatt </ recipientName >

< recipientCRDNumber > 1098942 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Josh Swayne </ recipientName >

< recipientCRDNumber > 4296721 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Witthuhn </ recipientName >

< recipientCRDNumber > 1500993 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S Renton Village Pl </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mary Gustafson </ recipientName >

< recipientCRDNumber > 1211486 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E. Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard Warga </ recipientName >

< recipientCRDNumber > 603578 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E. Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen Ludeman </ recipientName >

< recipientCRDNumber > 719613 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Roger Waller </ recipientName >

< recipientCRDNumber > 2800386 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robin Naylor </ recipientName >

< recipientCRDNumber > 1392433 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jordan Gibbs </ recipientName >

< recipientCRDNumber > 5567629 </ recipientCRDNumber >

< associatedBDName > Financial Goal Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 19066 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 35900 Bob Hope Drive </ street1 >

< street2 > Suite 202 </ 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 > John Kirkpatrick </ recipientName >

< recipientCRDNumber > 5217694 </ recipientCRDNumber >

< associatedBDName > Stanford Investment Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 103331 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2570 West El Camino Real </ street1 >

< street2 > Suite 520 </ street2 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94040 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Talia Pierluissi </ recipientName >

< recipientCRDNumber > 5134737 </ recipientCRDNumber >

< associatedBDName > Stanford Investment Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 103331 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2570 West El Camino Real </ street1 >

< street2 > Suite 520 </ street2 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94040 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gregory Hubbell </ recipientName >

< recipientCRDNumber > 705250 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 1027 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 E. Dana Street </ street1 >

< city > Mountain View </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94041-1508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Matthew Atkins </ recipientName >

< recipientCRDNumber > 5690723 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark Cohen </ recipientName >

< recipientCRDNumber > 2970697 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Thomas McLaurin </ recipientName >

< recipientCRDNumber > 314296 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Ortlip </ recipientName >

< recipientCRDNumber > 417290 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Phillip Multop </ recipientName >

< recipientCRDNumber > 1623493 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Aaron Kirsch </ recipientName >

< recipientCRDNumber > 438602 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joe Harkins </ recipientName >

< recipientCRDNumber > 237123 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton Village Place </ street1 >

< street2 > Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bruce Coston </ recipientName >

< recipientCRDNumber > 1312997 </ recipientCRDNumber >

< associatedBDName > Protected Investors of America </ associatedBDName >

< associatedBDCRDNumber > 6082 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 235 Montgomery Street </ street1 >

< street2 > Suite 1050 </ street2 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 18410000 </ totalOfferingAmount >

< totalAmountSold > 18410000 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > true </ hasNonAccreditedInvestors >

< numberNonAccreditedInvestors > 25 </ numberNonAccreditedInvestors >

< totalNumberAlreadyInvested > 336 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 1166210 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 1012550 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > BRG Petroleum LLC </ issuerName >

< signatureName > B. J. Reid </ signatureName >

< nameOfSigner > B. J. Reid </ nameOfSigner >

< signatureTitle > President </ signatureTitle >

< signatureDate > 2011-12-30 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >