Form D Raw Data - Electronic Filing Depository

EFDID: 5601EFD: Raw Data

Issuer: Thompson/Morgan Baton Rouge I, DST (0001466589) - D/A

Accession: 0001466589-10-000003 () (EDGAR Files) (Form D)

Edgar Posted: Jul. 29, 2010
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0704 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001466589 </ cik >

< entityName > Thompson/Morgan Baton Rouge I, DST </ entityName >

- < issuerAddress >

< street1 > 1900 MAIN STREET </ street1 >

< street2 > SUITE 700 </ street2 >

< city > IRVINE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 949-833-8252 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Business Trust </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2008 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Anthony </ firstName >

< middleName > W. </ middleName >

< lastName > Thompson </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1900 Main Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Managing Member and CEO of Sponsor - Thompson National Properties, LLC </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jack </ firstName >

< middleName > R. </ middleName >

< lastName > Maurer </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1900 Main Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Vice Chairman and Partner of Sponsor - Thompson National Properties, LLC </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Greg </ firstName >

< lastName > Genovese </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1900 Main Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > President, Securities Division of Sponsor - Thompson National Properties, LLC </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Johanna </ firstName >

< lastName > Howard </ lastName >

</ relatedPersonName >

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< street1 > 1900 Main Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Chief Financial Officer of Sponsor - Thompson National Properties, LLC </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Darryll </ firstName >

< lastName > Goodman </ lastName >

</ relatedPersonName >

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< street1 > 1900 Main Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Senior Vice President, Asset Management, of Sponsor - Thompson National Properties, LLC </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

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< industryGroupType > Residential </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

< item > 3C </ item >

< item > 3C.1 </ item >

< item > 3C.5 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001466589-10-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2009-06-11 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 100000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Larry I. Behrends </ recipientName >

< recipientCRDNumber > 16971 </ recipientCRDNumber >

< associatedBDName > Workman Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 31989 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1275 58th Avenue, Suite A </ street1 >

< city > Greeley </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80634 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IN </ state >

< description > INDIANA </ description >

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< description > IOWA </ description >

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< description > MARYLAND </ description >

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< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

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< description > NEW MEXICO </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Tracy R. Turner </ recipientName >

< recipientCRDNumber > 1385745 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 142541 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1917 Palomar Oaks Way </ street1 >

< street2 > Suite 150 </ street2 >

< city > Carlsbad </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92008 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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

< recipientCRDNumber > 6390 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 S. Renton </ street1 >

< street2 > Village Place, Suite 700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

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< value > All States </ value >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John P. Harvey, Jr. </ recipientName >

< recipientCRDNumber > 4227692 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 16878 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One City Boulevard West </ street1 >

< street2 > Suite 870 </ street2 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

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< description > ILLINOIS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark S. Mourick </ recipientName >

< recipientCRDNumber > 867435 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 8177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 24901 Dana Point Harbor Drive </ street1 >

< street2 > Suite 230 </ street2 >

< city > Dana Point </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92629 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

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< description > COLORADO </ description >

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< description > OKLAHOMA </ description >

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< description > OREGON </ description >

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< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

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< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > M. Gene Walter </ recipientName >

< recipientCRDNumber > 851987 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12600 West Colfax Avenue </ street1 >

< street2 > Suite C-480 </ street2 >

< city > Lakewood </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80215 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

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< description > NEVADA </ description >

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< description > NEW MEXICO </ description >

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< description > NEW YORK </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

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< description > SOUTH CAROLINA </ description >

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< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WY </ state >

< description > WYOMING </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen A. Pierce </ recipientName >

< recipientCRDNumber > 2170820 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 17609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9812 Millwood Circle </ street1 >

< city > Daphne </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 36527 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

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< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Paul A. Conte </ recipientName >

< recipientCRDNumber > 4803177 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 130993 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 600 Worcester Road, Suite LL1 </ street1 >

< city > Framingham </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard J. Maciasz </ recipientName >

< recipientCRDNumber > 1678609 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 17609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2002 False River Drive </ street1 >

< city > New Roads </ city >

< stateOrCountry > LA </ stateOrCountry >

< stateOrCountryDescription > LOUISIANA </ stateOrCountryDescription >

< zipCode > 70760 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stuart C. Chamberlin, Jr. </ recipientName >

< recipientCRDNumber > 1549351 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 17609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7280 West Palmetto Park Road </ street1 >

< street2 > Suite 106 </ street2 >

< city > Boca Raton </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33433 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Karl R. Norman </ recipientName >

< recipientCRDNumber > 349146 </ recipientCRDNumber >

< associatedBDName > Questar Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 350 Garfield Avenue </ street1 >

< city > Duluth </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55802 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bradley D. McCord </ recipientName >

< recipientCRDNumber > 5435128 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 142541 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3070 Bristol Street </ street1 >

< street2 > Suite 500 </ street2 >

< city > Costa Mesa </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lisa Y. del Rio </ recipientName >

< recipientCRDNumber > 5039684 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 29639 </ associatedBDCRDNumber >

- < recipientAddress >

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

< street2 > Building 1, Suite 400 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

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< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

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< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

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< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

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< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert L. Johnson </ recipientName >

< recipientCRDNumber > 1570308 </ recipientCRDNumber >

< associatedBDName > Questar Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1012 Harrison Avenue, Suite 2 </ street1 >

< city > Harrison </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 45030 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ashlee R. Turner </ recipientName >

< recipientCRDNumber > 5467536 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 142541 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1917 Palomar Oaks Way </ street1 >

< street2 > Suite 150 </ street2 >

< city > Carlsbad </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92008 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > HI </ state >

< description > HAWAII </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lewis M. Savage </ recipientName >

< recipientCRDNumber > 4716737 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 29639 </ associatedBDCRDNumber >

- < recipientAddress >

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

< street2 > Building I, Suite 400 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ronald J. Farner </ recipientName >

< recipientCRDNumber > 2335915 </ recipientCRDNumber >

< associatedBDName > National Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 7569 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 248 Center Avenue </ street1 >

< city > Molalla </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97038 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael J. Blackmore </ recipientName >

< recipientCRDNumber > 2879954 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20 S. Village Drive, Suite B </ street1 >

< city > Liberty </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 64068 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jimmy D. Weishaar </ recipientName >

< recipientCRDNumber > 2537959 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 134 North 130 Street, Suite A </ street1 >

< city > Bonner Springs </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Warren A. Wedepohl </ recipientName >

< recipientCRDNumber > 4581750 </ recipientCRDNumber >

< associatedBDName > Pavek Investments Inc. </ associatedBDName >

< associatedBDCRDNumber > 15791 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3603 N. Hastings Way, Suite 100 </ street1 >

< city > Eau Claire </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 54703 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Derek J. Elrod </ recipientName >

< recipientCRDNumber > 4793202 </ recipientCRDNumber >

< associatedBDName > Sloan Securities Corp. </ associatedBDName >

< associatedBDCRDNumber > 17930 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Two Executive Drive </ street1 >

< city > Fort Lee </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07024-3308 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ 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 MacArthur Place, Suite 855 </ street1 >

< city > Santa Ana </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92707 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Muldoon </ recipientName >

< recipientCRDNumber > 2664336 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 16878 </ associatedBDCRDNumber >

- < recipientAddress >

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

< city > Sandy </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James M. Mohan </ recipientName >

< recipientCRDNumber > 2449709 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 134 North 130 Street, Suite A </ street1 >

< city > Bonner Spring </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian D. Vosberg </ recipientName >

< recipientCRDNumber > 4476509 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 907 S. Myrtle Avenue </ street1 >

< city > Monrovia </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91016 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph R. Broadbent </ recipientName >

< recipientCRDNumber > 3132498 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 16878 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2040 Murray-Holladay Road </ street1 >

< street2 > Suite 201 </ street2 >

< city > Salt Lake City </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84117 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > F. Brian Tanner </ recipientName >

< recipientCRDNumber > 5038888 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 16878 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 55 Madison Street, Suite 675 </ street1 >

< city > Denver </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80206 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert G. Tatum </ recipientName >

< recipientCRDNumber > 1936605 </ recipientCRDNumber >

< associatedBDName > BancorpSouth Investment Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46259 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2909 13th Street </ street1 >

< city > Gulfport </ city >

< stateOrCountry > MS </ stateOrCountry >

< stateOrCountryDescription > MISSISSIPPI </ stateOrCountryDescription >

< zipCode > 39501 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert D. Russell </ recipientName >

< recipientCRDNumber > 4667804 </ recipientCRDNumber >

< associatedBDName > Kalos Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3174 Presidential Drive </ street1 >

< city > Fairborn </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 45324 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James T. Riner </ recipientName >

< recipientCRDNumber > 376932 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1706 Plum Lane, Suite 109 </ street1 >

< city > Redlands </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92374-4577 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Russel Tweed </ recipientName >

< recipientCRDNumber > 2339324 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2060 Huntington Drive, Suite 1 </ street1 >

< city > San Marino </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Debra L. Mackie </ recipientName >

< recipientCRDNumber > 2528711 </ recipientCRDNumber >

< associatedBDName > Questar Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1623 York Avenue, Suite 108 </ street1 >

< city > High Point </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27265 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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

< recipientCRDNumber > 13069 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 701 Tama Street, Building B </ street1 >

< city > Marion </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52302-0609 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James W. Olsen </ recipientName >

< recipientCRDNumber > 857594 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1601 Belle Chasse Highway </ street1 >

< street2 > Suite 200 </ street2 >

< city > Gretna </ city >

< stateOrCountry > LA </ stateOrCountry >

< stateOrCountryDescription > LOUISIANA </ stateOrCountryDescription >

< zipCode > 70056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< 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 > IL </ state >

< description > ILLINOIS </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey J. Arburn </ recipientName >

< recipientCRDNumber > 1475817 </ recipientCRDNumber >

< associatedBDName > Whitehall-Parker Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 10608 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 880 East Campbell Avenue </ street1 >

< street2 > Suite 206 </ street2 >

< city > Campbell </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95008 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Norberto Fernandez </ recipientName >

< recipientCRDNumber > 5241882 </ recipientCRDNumber >

< associatedBDName > Newport Coast Securities </ associatedBDName >

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3460 Torrance Boulevard </ street1 >

< street2 > Suite 306 </ street2 >

< city > Torrance </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90503 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ 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 </ street1 >

< street2 > Suite 201 </ street2 >

< city > Towson </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 21204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > William R. Furlong, Jr. </ recipientName >

< recipientCRDNumber > 801636 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3460 Torrance Boulevard </ street1 >

< street2 > Suite 306 </ street2 >

< city > Torrance </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90503 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael S. Welch </ recipientName >

< recipientCRDNumber > 4215661 </ recipientCRDNumber >

< associatedBDName > Kalos Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12900 Preston Road </ street1 >

< street2 > Suite 400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75230 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Angela L. Tejeda </ recipientName >

< recipientCRDNumber > 4212910 </ recipientCRDNumber >

< associatedBDName > Money Concepts Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8307 W. 34th Street North </ street1 >

< city > Wichita </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 67205 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christopher M. Schellin </ recipientName >

< recipientCRDNumber > 5575534 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 133591 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8295 242nd Street </ street1 >

< city > Forest Lake </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55025 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Leslie M. Pappas </ recipientName >

< recipientCRDNumber > 1735372 </ recipientCRDNumber >

< associatedBDName > Regent Capital Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 126881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 542 20th Avenue North </ street1 >

< city > Indian Rock Beach </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33785 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gregory W. McCloskey </ recipientName >

< recipientCRDNumber > 2820510 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 16944 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4100 Newport Place </ street1 >

< street2 > Suite 630 </ street2 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ivette M. Peugnet </ recipientName >

< recipientCRDNumber > 1623785 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 17537 Oak Street </ street1 >

< city > Fountain Valley </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92708 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David B. McMillen </ recipientName >

< recipientCRDNumber > 1198070 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 106 Pineview Lane </ street1 >

< city > Boulder </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80302 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Craig C. Frieders </ recipientName >

< recipientCRDNumber > 2817574 </ recipientCRDNumber >

< associatedBDName > Sloan Securities Corp. </ associatedBDName >

< associatedBDCRDNumber > 17930 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1615 Bonanza Street </ street1 >

< street2 > Suite 403 </ street2 >

< city > Walnut Creek </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94596 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Adam Bryan </ recipientName >

< recipientCRDNumber > 5443986 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 29639 </ associatedBDCRDNumber >

- < recipientAddress >

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

< street2 > Building 1, Suite 350 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John M. Kosmicki </ recipientName >

< recipientCRDNumber > 2093885 </ recipientCRDNumber >

< associatedBDName > Questar Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 910 54th Avenue </ street1 >

< street2 > Suite 200 </ street2 >

< city > Greeley </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80634 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gary L. Flater </ recipientName >

< recipientCRDNumber > 1049132 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 41180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1551 North Tustin Avenue </ street1 >

< street2 > Suite 960 </ street2 >

< city > Santa Ana </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92705 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel P. Raupp </ recipientName >

< recipientCRDNumber > 4079107 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 17609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 415 East Main Street </ street1 >

< street2 > 3rd Floor </ street2 >

< city > Port Jefferson </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11777 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > PR </ state >

< description > PUERTO RICO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David J. Chwalek </ recipientName >

< recipientCRDNumber > 2159441 </ recipientCRDNumber >

< associatedBDName > Investors Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18 Mainn Street </ street1 >

< city > Concord </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01742 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lambert B. Hermelink III </ recipientName >

< recipientCRDNumber > 243918 </ recipientCRDNumber >

< associatedBDName > QA3 Financial Corp. </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 23493 E. Phillips Pl </ street1 >

< city > Aurora </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80016 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jack R. Maurer </ recipientName >

< recipientCRDNumber > 3081542 </ recipientCRDNumber >

< associatedBDName > TNP Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 149178 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 Main Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nathan P. MacDonald </ recipientName >

< recipientCRDNumber > 2250393 </ recipientCRDNumber >

< associatedBDName > Investors Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 229 Center Street </ street1 >

< street2 > Unit 5 </ street2 >

< city > Auburn </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04210 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark A. Cline </ recipientName >

< recipientCRDNumber > 3206962 </ recipientCRDNumber >

< associatedBDName > United Equity Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 47261 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 400 SE 12th Street </ street1 >

< street2 > Suite #D North </ street2 >

< city > Ft. Lauderdale </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33316 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ 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 N. Kings Highway </ street1 >

< street2 > Suite 405 </ street2 >

< city > Cherry Hill </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian F. Lynch </ recipientName >

< recipientCRDNumber > 4660088 </ recipientCRDNumber >

< associatedBDName > TNP Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 149178 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 Main Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Timothy J. Sherer </ recipientName >

< recipientCRDNumber > 833618 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company, L.L.C. </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1754 Technology Drive </ street1 >

< street2 > Suite 246 </ street2 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95110 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michele F. Boyer </ recipientName >

< recipientCRDNumber > 5046676 </ recipientCRDNumber >

< associatedBDName > Workman Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 31898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 222 3rd Street SE </ street1 >

< street2 > Suite 600B </ street2 >

< city > Cedar Rapids </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James M. Whitson </ recipientName >

< recipientCRDNumber > 1353438 </ recipientCRDNumber >

< associatedBDName > United Equity Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 47261 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1275 58th Avenue </ street1 >

< street2 > Suite A </ street2 >

< city > Greeley </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80634 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert A. Graham </ recipientName >

< recipientCRDNumber > 1025936 </ recipientCRDNumber >

< associatedBDName > Arete Wealth Management, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 999 5th Avenue </ street1 >

< street2 > Suite 570 </ street2 >

< city > San Rafael </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James T. Mabbott </ recipientName >

< recipientCRDNumber > 2270546 </ recipientCRDNumber >

< associatedBDName > QA3 Financial Corp. </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 61775 Mesquite Court </ street1 >

< city > La Quinta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92253 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kathleen L. Heshelow </ recipientName >

< recipientCRDNumber > 4909103 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5550 Bates Street </ street1 >

< city > Seminole </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33772 </ 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 > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Craig S. Sturges </ recipientName >

< recipientCRDNumber > 1315735 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1429 E. Thousand Oaks Blvd. </ street1 >

< street2 > Suite #209 </ street2 >

< city > Thousand Oaks </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91362 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael A. Sebald </ recipientName >

< recipientCRDNumber > 1426782 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 28352 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 701 Oregon Street </ street1 >

< city > Oshkosh </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 54902 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph R. Donato </ recipientName >

< recipientCRDNumber > 4218627 </ recipientCRDNumber >

< associatedBDName > Investors Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11 Thelma Road </ street1 >

< city > Framingham </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01702 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 21200000 </ totalOfferingAmount >

< totalAmountSold > 20985800 </ totalAmountSold >

< totalRemaining > 214200 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 142 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2756000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 1849800 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Thompson/Morgan Baton Rouge I, DST </ issuerName >

< signatureName > /Anthony W. Thompson/ </ signatureName >

< nameOfSigner > Anthony W. Thompson </ nameOfSigner >

< signatureTitle > Managing Member and CEO of Sponsor </ signatureTitle >

< signatureDate > 2010-07-29 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >