EFDID: 4421EFD: Raw Data

Issuer: RR HV VENTURE HOLDINGS DST (0001450772) - D/A

Accession: 0001450772-10-000003 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: Nov. 2, 2010
EFD Posted: Aug. 7, 2014
- < edgarSubmission >
  < schemaVersion > X0704 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001450772 </ cik >
  < entityName > RR HV VENTURE HOLDINGS DST </ entityName >
- < issuerAddress >
  < street1 > 2901 BUTTERFIELD ROAD </ street1 >
  < city > OAK BROOK </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ issuerAddress >
  < issuerPhoneNumber > 630-218-4916 </ issuerPhoneNumber >
  < jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >
- < issuerPreviousNameList >
  < value > None </ value >
  </ issuerPreviousNameList >
- < edgarPreviousNameList >
  < value > None </ value >
  </ edgarPreviousNameList >
  < entityType > Other </ entityType >
  < entityTypeOtherDesc > Delaware Statutory Trust </ entityTypeOtherDesc >
- < yearOfInc >
  < withinFiveYears > true </ withinFiveYears >
  < value > 2008 </ value >
  </ yearOfInc >
  </ primaryIssuer >
- < relatedPersonsList >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Real Estate Exchange Corporation </ firstName >
  < lastName > Inland </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification />
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Exchange Venture, L.L.C. </ firstName >
  < lastName > RR-HV </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification />
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Venture, L.L.C. </ firstName >
  < lastName > RR-HV 1031 </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification />
  </ relatedPersonInfo >
  </ relatedPersonsList >
- < offeringData >
- < industryGroup >
  < industryGroupType > Other Real Estate </ industryGroupType >
  </ industryGroup >
- < issuerSize >
  < revenueRange > Decline to Disclose </ revenueRange >
  </ issuerSize >
- < federalExemptionsExclusions >
  < item > 06 </ item >
  </ federalExemptionsExclusions >
- < typeOfFiling >
- < newOrAmendment >
  < isAmendment > true </ isAmendment >
  < previousAccessionNumber > 0001450772-10-000002 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2008-10-31 </ value >
  </ dateOfFirstSale >
  </ typeOfFiling >
- < durationOfOffering >
  < moreThanOneYear > true </ moreThanOneYear >
  </ durationOfOffering >
- < typesOfSecuritiesOffered >
  < isOtherType > true </ isOtherType >
  < descriptionOfOtherType > Beneficial interests in a Delaware Statutory Trust reflecting beneficial interests in real estate </ descriptionOfOtherType >
  </ typesOfSecuritiesOffered >
- < businessCombinationTransaction >
  < isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >
  < clarificationOfResponse />
  </ businessCombinationTransaction >
  < minimumInvestmentAccepted > 100000 </ minimumInvestmentAccepted >
- < salesCompensationList >
- < recipient >
  < recipientName > James A. Armagost </ recipientName >
  < recipientCRDNumber > 7157 </ recipientCRDNumber >
  < associatedBDName > VSR Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 14503 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 803 West 25 Street </ street1 >
  < city > Kearney </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68845 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kurt R. Faasse </ recipientName >
  < recipientCRDNumber > 3219742 </ recipientCRDNumber >
  < associatedBDName > Royal Securities Company </ associatedBDName >
  < associatedBDCRDNumber > 10702 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4095 Chicago Drive, SW, Suite 120 </ street1 >
  < city > Grandville </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 49418 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Nathan L. Rewerts </ recipientName >
  < recipientCRDNumber > 2913269 </ recipientCRDNumber >
  < associatedBDName > Investment Planners, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5950 SW 28th Street </ street1 >
  < city > Topeka </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66614 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > KS </ state >
  < description > KANSAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Ronn F. Castle </ recipientName >
  < recipientCRDNumber > 2238236 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1858 South Wadsworth, Suite 302 </ street1 >
  < city > Lakewood </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80232 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Dana K. Graves </ recipientName >
  < recipientCRDNumber > 2811852 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 79 Woodfin Place, Suite 201 </ street1 >
  < city > Asheville </ city >
  < stateOrCountry > NC </ stateOrCountry >
  < stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 28801 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kathleen C. Bennett </ recipientName >
  < recipientCRDNumber > 4666755 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3800 Blackhawk Road, Suite 100 </ street1 >
  < city > Danville </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94506 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mark O. Coombe </ recipientName >
  < recipientCRDNumber > 2733655 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5635 NE Elam Young Parkway </ street1 >
  < street2 > Suite 100 </ street2 >
  < city > Hissboro </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97124 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Darryl J. Wolff, Sr. </ recipientName >
  < recipientCRDNumber > 2824029 </ recipientCRDNumber >
  < associatedBDName > FSC Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 513 Dekalb Avenue </ street1 >
  < city > Sycamore </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60178 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joel F. Kugler </ recipientName >
  < recipientCRDNumber > 2028716 </ recipientCRDNumber >
  < associatedBDName > Associated Securities Corp. </ associatedBDName >
  < associatedBDCRDNumber > 12969 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 13355 Manna Way </ street1 >
  < city > North Pole </ city >
  < stateOrCountry > AK </ stateOrCountry >
  < stateOrCountryDescription > ALASKA </ stateOrCountryDescription >
  < zipCode > 99705 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Tyler T. Smith </ recipientName >
  < recipientCRDNumber > 4648622 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3048 East Baseline Road </ street1 >
  < city > Mesa </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85204 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > UT </ state >
  < description > UTAH </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Douglas E. Taylor, Jr. </ recipientName >
  < recipientCRDNumber > 1754272 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 504 East Broadway </ street1 >
  < city > Williston </ city >
  < stateOrCountry > ND </ stateOrCountry >
  < stateOrCountryDescription > NORTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 58801 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > ND </ state >
  < description > NORTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Margaret S. Kosmerl </ recipientName >
  < recipientCRDNumber > 1578799 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1833 D Forest Drive </ street1 >
  < city > Annapolis </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 21401 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Charles A. Smith </ recipientName >
  < recipientCRDNumber > 3242263 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3048 East Baseline Road </ street1 >
  < city > Mesa </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85204 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joseph P. Morgan </ recipientName >
  < recipientCRDNumber > 2822025 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 655 South Alta Avenue </ street1 >
  < city > Dinuba </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 93618 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Charles W. Fowler </ recipientName >
  < recipientCRDNumber > 4750998 </ recipientCRDNumber >
  < associatedBDName > Pacific West Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8550 Lee Highway, Suite 730 </ street1 >
  < city > Fairfax </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22031 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WV </ state >
  < description > WEST VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Harvey S. Berk </ recipientName >
  < recipientCRDNumber > 705380 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 244 North Main Street </ street1 >
  < city > New City </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10956 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas P. Feldner </ recipientName >
  < recipientCRDNumber > 2768753 </ recipientCRDNumber >
  < associatedBDName > Capital Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 8408 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1900 Burnt Boat Drive, Suite 102 </ street1 >
  < city > Bismarck </ city >
  < stateOrCountry > ND </ stateOrCountry >
  < stateOrCountryDescription > NORTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 58503 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David R. Bjork </ recipientName >
  < recipientCRDNumber > 2243192 </ recipientCRDNumber >
  < associatedBDName > Capital Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 8408 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1900 Burnt Boat Drive, Suite 102 </ street1 >
  < city > Bismarck </ city >
  < stateOrCountry > ND </ stateOrCountry >
  < stateOrCountryDescription > NORTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 58503 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Andrew T. Koerner </ recipientName >
  < recipientCRDNumber > 2207442 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 125 Village Boulevard, Suite 308 </ street1 >
  < street2 > Princeton Forrestal Village </ street2 >
  < city > Princeton </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08540 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Deborah R. Walker </ recipientName >
  < recipientCRDNumber > 833928 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 125 Village Boulevard, Suite 308 </ street1 >
  < street2 > Princeton Forrestal Village </ street2 >
  < city > Princeton </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08540 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Scott S. Brown </ recipientName >
  < recipientCRDNumber > 4322420 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2234 East Colorado Boulevard </ street1 >
  < city > Pasadena </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91107 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Sally W. Ng </ recipientName >
  < recipientCRDNumber > 1915190 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1350 Treat Boulevard </ street1 >
  < city > Walnut Creek </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94597 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Douglas E. Lockwood </ recipientName >
  < recipientCRDNumber > 1703831 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 112 East 7th Street </ street1 >
  < city > Auburn </ city >
  < stateOrCountry > IN </ stateOrCountry >
  < stateOrCountryDescription > INDIANA </ stateOrCountryDescription >
  < zipCode > 46706 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IN </ state >
  < description > INDIANA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William W. Gammon </ recipientName >
  < recipientCRDNumber > 1811853 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1122 Kenilworth Drive, Suite 201 </ street1 >
  < city > Towson </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 21204 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Timothy C. Hobbs </ recipientName >
  < recipientCRDNumber > 2531874 </ recipientCRDNumber >
  < associatedBDName > VSR Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 14503 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8710 Greenville Avenue, Suite D </ street1 >
  < city > Dallas </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 75243 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gary W. Pelletier </ recipientName >
  < recipientCRDNumber > 1257856 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 39 Simmons Street </ street1 >
  < city > Nashua </ city >
  < stateOrCountry > NH </ stateOrCountry >
  < stateOrCountryDescription > NEW HAMPSHIRE </ stateOrCountryDescription >
  < zipCode > 03063 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael L. Markey </ recipientName >
  < recipientCRDNumber > 320042 </ recipientCRDNumber >
  < associatedBDName > American Investors Company </ associatedBDName >
  < associatedBDCRDNumber > 38 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1655 North Main Street, Suite 270 </ street1 >
  < city > Walnut Creek </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94596 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Randee K. Cook </ recipientName >
  < recipientCRDNumber > 1300458 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1931 65th Avenue, Unit B </ street1 >
  < city > Greeley </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80634 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mary A. O'Connor </ recipientName >
  < recipientCRDNumber > 4320083 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 43612 Excelso Drive </ street1 >
  < city > Fremont </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94539 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Patrick R. Conway </ recipientName >
  < recipientCRDNumber > 1337831 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ recipientAddress >
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  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Terence W. O'Doherty </ recipientName >
  < recipientCRDNumber > 351060 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 13309 NE 5th Avenue </ street1 >
  < city > Vancouver </ city >
  < stateOrCountry > WA </ stateOrCountry >
  < stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >
  < zipCode > 98685 </ zipCode >
  </ recipientAddress >
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  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joshua A. Suess </ recipientName >
  < recipientCRDNumber > 4286544 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 21 Corte Madera Avenue, Suite 3A </ street1 >
  < city > Mill Valley </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94931 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Cynthia M. Couyoumjian </ recipientName >
  < recipientCRDNumber > 1456630 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 15145 Woodlawn Avenue, Suite 100 </ street1 >
  < city > Tustin </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92780 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christine B. Tang </ recipientName >
  < recipientCRDNumber > 4774839 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 15145 Woodlawn Avenue, Suite 100 </ street1 >
  < city > Tustin </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92780 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert A. Horning </ recipientName >
  < recipientCRDNumber > 2311640 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3 Mac Arthur Place, Suite 855 </ street1 >
  < city > Santa Ana </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92707 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michelle L. Cable </ recipientName >
  < recipientCRDNumber > 5558028 </ recipientCRDNumber >
  < associatedBDName > Horner, Townsend & Kent, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 4031 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10900 NE 8th Street, Suite 1250 </ street1 >
  < city > Bellevue </ city >
  < stateOrCountry > WA </ stateOrCountry >
  < stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >
  < zipCode > 98004 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Herman L. Kahn </ recipientName >
  < recipientCRDNumber > 1866522 </ recipientCRDNumber >
  < associatedBDName > NFP Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 17 Brilliant Avenue, Suite 302 </ street1 >
  < city > Pittsburgh </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 15215 </ zipCode >
  </ recipientAddress >
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  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Terry A. Vrieze </ recipientName >
  < recipientCRDNumber > 455952 </ recipientCRDNumber >
  < associatedBDName > Broker Dealer Financial Services Corp. / Successful Resource Management </ associatedBDName >
  < associatedBDCRDNumber > 8073 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7017 Hickman Road </ street1 >
  < city > Urbandale </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 50322 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Noah A. Seidenberg </ recipientName >
  < recipientCRDNumber > 2172364 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 229 Center Street </ street1 >
  < city > Grayslake </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60030 </ zipCode >
  </ recipientAddress >
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  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Richard McCollam </ recipientName >
  < recipientCRDNumber > 1419048 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3109 Teigland Road </ street1 >
  < city > Lafayette </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94549 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kathleen J. Tarr </ recipientName >
  < recipientCRDNumber > 4215307 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Associates, inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3109 Teigland Road </ street1 >
  < city > Lafayette </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94549 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael W. Newton </ recipientName >
  < recipientCRDNumber > 2185103 </ recipientCRDNumber >
  < associatedBDName > Investment Planners, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 191 West Professional Park Court, Suite </ street1 >
  < city > Bowling Green </ city >
  < stateOrCountry > KY </ stateOrCountry >
  < stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >
  < zipCode > 42104 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeremy L. Gove </ recipientName >
  < recipientCRDNumber > 5231794 </ recipientCRDNumber >
  < associatedBDName > J.P. Turner & Company, L.L.C. </ associatedBDName >
  < associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3000 2nd Avenue, Suite 4 </ street1 >
  < city > Kearney </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68845 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John P. Siciliano, Jr. </ recipientName >
  < recipientCRDNumber > 711119 </ recipientCRDNumber >
  < associatedBDName > Invest Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 12984 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 78 Oxford Road </ street1 >
  < city > Chester </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10918 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Steven D. Duncan </ recipientName >
  < recipientCRDNumber > 3137617 </ recipientCRDNumber >
  < associatedBDName > Ameriprise Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 6363 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 Bellevue Parkway, Suite 250 </ street1 >
  < city > Wilmington </ city >
  < stateOrCountry > DE </ stateOrCountry >
  < stateOrCountryDescription > DELAWARE </ stateOrCountryDescription >
  < zipCode > 19809 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Bruce S. Hesse </ recipientName >
  < recipientCRDNumber > 2638672 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 11 Pruner Farm Road </ street1 >
  < city > Lebanon </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08833 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Andrew G. Rosenberg </ recipientName >
  < recipientCRDNumber > 2944124 </ recipientCRDNumber >
  < associatedBDName > Securities America, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12510 West Atlantic Boulevard </ street1 >
  < city > Coral Springs </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33071-4085 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas J. Todd </ recipientName >
  < recipientCRDNumber > 3111871 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2160 County Club Road </ street1 >
  < city > Winston Salem </ city >
  < stateOrCountry > NC </ stateOrCountry >
  < stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 27104-4208 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Fred E. Ymker </ recipientName >
  < recipientCRDNumber > 2436178 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6209 South Pinnacle Place </ street1 >
  < street2 > Suite 102 </ street2 >
  < city > Sioux Falls </ city >
  < stateOrCountry > SD </ stateOrCountry >
  < stateOrCountryDescription > SOUTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 57108 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Keith R. Schaefbauer </ recipientName >
  < recipientCRDNumber > 2524161 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6209 South Pinnacle Place </ street1 >
  < street2 > Suite 102 </ street2 >
  < city > Sioux Falls </ city >
  < stateOrCountry > SD </ stateOrCountry >
  < stateOrCountryDescription > SOUTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 57108 </ zipCode >
  </ recipientAddress >
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  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Craig Hoff </ recipientName >
  < recipientCRDNumber > 1936893 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3655 Nobel Drive, #260 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92122 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William P. Czaplewski </ recipientName >
  < recipientCRDNumber > 2386057 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5515 Monona Drive </ street1 >
  < city > Monona </ city >
  < stateOrCountry > WI </ stateOrCountry >
  < stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >
  < zipCode > 53716 </ zipCode >
  </ recipientAddress >
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  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Leonard R. Bettencourt </ recipientName >
  < recipientCRDNumber > 4025897 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 865 Geer Road </ street1 >
  < city > Turlock </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95380 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kenneth L. Christie </ recipientName >
  < recipientCRDNumber > 2218257 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5925 Granite Lake Drive, Suite 130 </ street1 >
  < city > Granite Bay </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95746 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David J. Levenstein </ recipientName >
  < recipientCRDNumber > 2908647 </ recipientCRDNumber >
  < associatedBDName > Prime Capital Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18334 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 800 South Federal Highway </ street1 >
  < city > Hollywood </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33020 </ zipCode >
  </ recipientAddress >
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  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Monte L. Snider </ recipientName >
  < recipientCRDNumber > 2244934 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 330 112th Avenue, NE, Suite 101 </ street1 >
  < city > Bellevue </ city >
  < stateOrCountry > WA </ stateOrCountry >
  < stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >
  < zipCode > 98004 </ zipCode >
  </ recipientAddress >
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  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Scott A. Thomas </ recipientName >
  < recipientCRDNumber > 2919642 </ recipientCRDNumber >
  < associatedBDName > Western International Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39262 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 70 South Lake Avenue, Suite 700 </ street1 >
  < city > Pasadena </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91101 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Peter I. Shusterman </ recipientName >
  < recipientCRDNumber > 1460819 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 11545 West Bernardo Court, Suite 203 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92127 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Louis J. Rogers </ recipientName >
  < recipientCRDNumber > 4845692 </ recipientCRDNumber >
  < associatedBDName > MCL Financial Group, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10900 Nuckols Road </ street1 >
  < city > Glen Allen </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 23060-9246 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Angelo F. Anello </ recipientName >
  < recipientCRDNumber > 2835091 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 233 Needham Street, Suite 300 </ street1 >
  < city > Newton </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 02464 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Donna A. Corrigan </ recipientName >
  < recipientCRDNumber > 2554192 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5680 East Franklin Road, Suite 225 </ street1 >
  < city > Nampa </ city >
  < stateOrCountry > ID </ stateOrCountry >
  < stateOrCountryDescription > IDAHO </ stateOrCountryDescription >
  < zipCode > 83687 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Keith A. Herman </ recipientName >
  < recipientCRDNumber > 2322605 </ recipientCRDNumber >
  < associatedBDName > Alternative Wealth Strategies, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 130933 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1040 North Kings Highway, Suite 405 </ street1 >
  < city > Cherry Hill </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08034 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Samuel C. Bridgers, III </ recipientName >
  < recipientCRDNumber > 1243406 </ recipientCRDNumber >
  < associatedBDName > VSR Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 14503 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 230 Marter Avenue </ street1 >
  < city > Moorestown </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08057 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John L. Bennis </ recipientName >
  < recipientCRDNumber > 2103138 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 881 Dover Drive, Suite 310, B/R 2 </ street1 >
  < city > Newport Beach </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92663 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joseph H. Sterling </ recipientName >
  < recipientCRDNumber > 1101378 </ recipientCRDNumber >
  < associatedBDName > Geneos Wealth Management, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 120894 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7570 West 147th Street, Suite 100 </ street1 >
  < city > Apple Valley </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 55124 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Deanna R. Pickering </ recipientName >
  < recipientCRDNumber > 4902439 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 330 South Center Street, Suite 100 </ street1 >
  < city > Casper </ city >
  < stateOrCountry > WY </ stateOrCountry >
  < stateOrCountryDescription > WYOMING </ stateOrCountryDescription >
  < zipCode > 82601 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WY </ state >
  < description > WYOMING </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Arlon R. Enmeier </ recipientName >
  < recipientCRDNumber > 1000999 </ recipientCRDNumber >
  < associatedBDName > Securities America, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9870 Research Drive, 1st Floor </ street1 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92618 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Lee R. Kramer </ recipientName >
  < recipientCRDNumber > 1465416 </ recipientCRDNumber >
  < associatedBDName > FSC Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9099 Ridgefield Drive, Suite 101 </ street1 >
  < city > Frederick </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 21701 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Inland Securities Corporation </ recipientName >
  < recipientCRDNumber > 15807 </ recipientCRDNumber >
  < associatedBDName > Inland Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 15807 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Delmar V. McKinney, II </ recipientName >
  < recipientCRDNumber > 1186853 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 620 North Main Street </ street1 >
  < city > Taylor </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 76574 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael W. Newton </ recipientName >
  < recipientCRDNumber > 2185103 </ recipientCRDNumber >
  < associatedBDName > Investment Planners, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 191 West Professional Park Court </ street1 >
  < street2 > Suite 2-B </ street2 >
  < city > Bowling Green </ city >
  < stateOrCountry > KY </ stateOrCountry >
  < stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >
  < zipCode > 42104 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James H. Buley </ recipientName >
  < recipientCRDNumber > 2173184 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9330 Scranton Road, Suite 270 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92121 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey A. Christie </ recipientName >
  < recipientCRDNumber > 4889641 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12396 World Trade Drive, Suite 312 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92128 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Julie L. Bradsher </ recipientName >
  < recipientCRDNumber > 5230771 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 180 South Washington Street, Suite 200 </ street1 >
  < city > Falls Church </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22046 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christine B. Tang </ recipientName >
  < recipientCRDNumber > 4774839 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7545 Irvine Center Drive, Suite 200 </ street1 >
  < city > Tustin </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92618 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Cynthia M. Couyoumjian </ recipientName >
  < recipientCRDNumber > 1456630 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7545 Irvine Center Drive, Suite 200 </ street1 >
  < city > Tustin </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92618 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John H. Ferguson </ recipientName >
  < recipientCRDNumber > 4947624 </ recipientCRDNumber >
  < associatedBDName > Steven L. Falk & Associates Inc. </ associatedBDName >
  < associatedBDCRDNumber > 14297 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 300 North Lake Avenue, Suite 420 </ street1 >
  < city > Pasadena </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91101 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Paul J. Newland </ recipientName >
  < recipientCRDNumber > 2364884 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1251 NW Briarcliff Parkway, Suite 235 </ street1 >
  < city > Kansas City </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 64116 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael Stieglitz </ recipientName >
  < recipientCRDNumber > 4623788 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 Valley Road, Suite 300 </ street1 >
  < city > Mount Arlington </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07856 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Francis J. Jones, Jr. </ recipientName >
  < recipientCRDNumber > 4491511 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 Valley Road, Suite 300 </ street1 >
  < city > Mount Arlington </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07856 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James E. Joly </ recipientName >
  < recipientCRDNumber > 2193463 </ recipientCRDNumber >
  < associatedBDName > LPL Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 63 Cedar Avenue, Suite 12 </ street1 >
  < city > East Greenwich </ city >
  < stateOrCountry > RI </ stateOrCountry >
  < stateOrCountryDescription > RHODE ISLAND </ stateOrCountryDescription >
  < zipCode > 02818 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > RI </ state >
  < description > RHODE ISLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Rodney A. Simms </ recipientName >
  < recipientCRDNumber > 1854316 </ recipientCRDNumber >
  < associatedBDName > Ameriprise Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 6363 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2125 Poinsettia Drive </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92107 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William J. Marco </ recipientName >
  < recipientCRDNumber > 1490759 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1689 86th Street </ street1 >
  < city > Brooklyn </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11214 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 47140485 </ totalOfferingAmount >
  < totalAmountSold > 47140485 </ totalAmountSold >
  < totalRemaining > 0 </ totalRemaining >
  < clarificationOfResponse />
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 147 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 2828429 </ dollarAmount >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  </ findersFees >
  < clarificationOfResponse />
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 5676869 </ dollarAmount >
  </ grossProceedsUsed >
  < clarificationOfResponse />
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > RR HV VENTURE HOLDINGS DST </ issuerName >
  < signatureName > /s/ Patricia A. DelRosso </ signatureName >
  < nameOfSigner > Patricia A. DelRosso </ nameOfSigner >
  < signatureTitle > President of Member of Signatory Trustee </ signatureTitle >
  < signatureDate > 2010-10-28 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: Nov. 2, 2010
EFD Posted: Aug. 7, 2014