Form D Raw Data - Electronic Filing Depository

EFDID: 5944EFD: Raw Data

Issuer: CRE Strategic Opportunity Fund (0001474770) - D/A

Accession: 0001474770-11-000006 () (EDGAR Files) (Form D)

Edgar Posted: Jun. 8, 2011
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0704 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001474770 </ cik >

< entityName > CRE Strategic Opportunity Fund </ entityName >

- < issuerAddress >

< street1 > 101 N. MAIN ST </ street1 >

< street2 > 12TH FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 864-679-4771 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Liability Company </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2009 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

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< firstName > X </ firstName >

< middleName > X </ middleName >

< lastName > CRE Strategic Opportunity Fund Management, LLC </ lastName >

</ relatedPersonName >

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< street1 > 101 N Main St </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Manager of the issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< middleName > W </ middleName >

< lastName > Boyd </ lastName >

</ relatedPersonName >

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< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

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</ relatedPersonRelationshipList >

< relationshipClarification />

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- < relatedPersonName >

< firstName > Paul </ firstName >

< middleName > M </ middleName >

< lastName > Aiesi </ lastName >

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< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Andrew </ firstName >

< middleName > M </ middleName >

< lastName > Reiken </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o CRE Strategic Opportunity Fund Mgmt </ street1 >

< street2 > 101 N. Main St., 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

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< relationshipClarification />

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Donald </ firstName >

< middleName > L </ middleName >

< lastName > Spalding </ lastName >

</ relatedPersonName >

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< street1 > c/o CRE Strategic Opportunity Fund Mgmt </ street1 >

< street2 > 101 N. Main St., 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > X </ firstName >

< middleName > X </ middleName >

< lastName > Poinsett Capital Advisors, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ relatedPersonAddress >

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< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > X </ firstName >

< middleName > X </ middleName >

< lastName > Graycliff Capital Partners, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

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</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > REITS and Finance </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

< item > 3C </ item >

< item > 3C.6 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001474770-11-000005 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2009-11-04 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > SANDLAPPER Securities, LLC </ recipientName >

< recipientCRDNumber > 137906 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N Main St </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

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< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

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< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

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< description > GEORGIA </ description >

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< description > MINNESOTA </ description >

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< description > NEVADA </ 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 > WA </ state >

< description > WASHINGTON </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John B. Morris III </ recipientName >

< recipientCRDNumber > 5155685 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Wyatt Boyd </ recipientName >

< recipientCRDNumber > 2090782 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Holmes Ferguson </ recipientName >

< recipientCRDNumber > 4947624 </ recipientCRDNumber >

< associatedBDName > Nelsonreid, Inc. </ associatedBDName >

< associatedBDCRDNumber > 45503 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 N. Lake Avenue </ street1 >

< street2 > #420 </ street2 >

< city > Pasadena </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91101 </ zipCode >

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< description > CALIFORNIA </ description >

< state > NV </ state >

< description > NEVADA </ description >

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< state > NC </ state >

< description > NORTH CAROLINA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Marten Lamont </ recipientName >

< recipientCRDNumber > 2846228 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

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< street1 > 1400 Grant Avenue </ street1 >

< street2 > #101 </ street2 >

< city > Novato </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94948 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gretchen M. Schorr </ recipientName >

< recipientCRDNumber > 704073 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 32621 Avenida Lestonnac </ street1 >

< city > Temecula </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92590 </ zipCode >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Paul M. Aiesi </ recipientName >

< recipientCRDNumber > 5053454 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

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< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Toni Lynn Sutherland </ recipientName >

< recipientCRDNumber > 2729672 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9055 Soquel Drive </ street1 >

< street2 > Ste #H </ street2 >

< city > Aptos </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95003 </ zipCode >

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< 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 > NJ </ state >

< description > NEW JERSEY </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Orlando C. Fernandez </ recipientName >

< recipientCRDNumber > 1980142 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > #1203 </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Steven D. Meahan </ recipientName >

< recipientCRDNumber > 1234042 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1547 Palos Verdes </ street1 >

< street2 > STE #406 </ street2 >

< city > Walnut Creek </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94597 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Trevor L. Gordon </ recipientName >

< recipientCRDNumber > 2195122 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ 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 > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ 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 > WA </ state >

< description > WASHINGTON </ description >

< state > WY </ state >

< description > WYOMING </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Dwight K. Kay </ recipientName >

< recipientCRDNumber > 5376903 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1717 Palacios Drive </ street1 >

< city > Pedro </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90732 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > William M. Swayne </ recipientName >

< recipientCRDNumber > 440968 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 420 Boylston Avenue E </ street1 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98102 </ zipCode >

</ recipientAddress >

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< state > AK </ state >

< description > ALASKA </ 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 > 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 > MO </ state >

< description > MISSOURI </ description >

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< description > NEW MEXICO </ description >

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< 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 > Russell Lynn Bacon </ recipientName >

< recipientCRDNumber > 4542975 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13303 Manchester Road </ street1 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63131 </ zipCode >

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< state > FL </ state >

< description > FLORIDA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joshua D. Swayne </ recipientName >

< recipientCRDNumber > 4296721 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 809 Fairview Place North </ street1 >

< street2 > #130 </ street2 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98109 </ zipCode >

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< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > George Merhoff </ recipientName >

< recipientCRDNumber > 2918171 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 626 S. 7th Street </ street1 >

< city > Klamath Falls </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97601 </ zipCode >

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< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

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< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

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< state > IA </ state >

< description > IOWA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James W. Logan </ recipientName >

< recipientCRDNumber > 1699165 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > 12th Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Billy W. Martin </ recipientName >

< recipientCRDNumber > 2021424 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2027 Broadway </ street1 >

< city > Cape Girardeau </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jack C. Bixler </ recipientName >

< recipientCRDNumber > 22331 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > STE #1203 </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Neal M. Woodard </ recipientName >

< recipientCRDNumber > 5461016 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1951 Evelyn Byrd Avenue </ street1 >

< street2 > STE - E </ street2 >

< city > Harrisonburg </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 22801 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Craig W. Hubler </ recipientName >

< recipientCRDNumber > 1194371 </ recipientCRDNumber >

< associatedBDName > Stephen A. Kohn & Associates, LTD </ associatedBDName >

< associatedBDCRDNumber > 41067 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6950 SW Hampton Street </ street1 >

< street2 > STE #100 </ street2 >

< city > Tigard </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97223-8330 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Haynes L. Kendall Jr. </ recipientName >

< recipientCRDNumber > 1274737 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 31461 Rancho Viejo Road </ street1 >

< street2 > STE #104 </ street2 >

< city > San Juan Capistrano </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92675 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Tracy Rae Turner </ recipientName >

< recipientCRDNumber > 1385745 </ recipientCRDNumber >

< associatedBDName > Lighthouse Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 41812 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6856 Embarcadero Lane </ street1 >

< city > Carlsbad </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92011 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert L. Boggess </ recipientName >

< recipientCRDNumber > 5007422 </ recipientCRDNumber >

< associatedBDName > Allied Beacon Partners, Inc. </ associatedBDName >

< associatedBDCRDNumber > 46227 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7501 Boulder View Drive </ street1 >

< street2 > STE #601 </ street2 >

< city > Richmond </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23225 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > George K. Jeffers </ recipientName >

< recipientCRDNumber > 1458438 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > #1203 </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark C. Pedersen </ recipientName >

< recipientCRDNumber > 1283866 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > #1203 </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Zoltan R. Posa </ recipientName >

< recipientCRDNumber > 4277093 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2856 E. Sonora </ street1 >

< city > Palm Springs </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92264 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > C. Grant Conness </ recipientName >

< recipientCRDNumber > 4778193 </ recipientCRDNumber >

< associatedBDName > G.F. Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 132939 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2740 E. Oakland Pk Blvd. </ street1 >

< street2 > STE #201 </ street2 >

< city > Fort Lauderdale </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33306 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< 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 > IL </ state >

< description > ILLINOIS </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert A. Cannon </ recipientName >

< recipientCRDNumber > 2765289 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 371 NE Gilman Blvd </ street1 >

< street2 > STE #310 </ street2 >

< city > Issaquah </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98027 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ryan O. Smith </ recipientName >

< recipientCRDNumber > 4340304 </ recipientCRDNumber >

< associatedBDName > DFPG Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 406 W. South Jordan Parkway </ street1 >

< street2 > STE #200 </ street2 >

< city > South Jordan </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84095 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph R. Broadbent </ recipientName >

< recipientCRDNumber > 3132498 </ recipientCRDNumber >

< associatedBDName > Orchard Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 133378 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12547 S. 1745 E </ street1 >

< city > Draper </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84020 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jung H. Lee </ recipientName >

< recipientCRDNumber > 4410932 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 155 NE 100th Street </ street1 >

< street2 > #403 </ street2 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98125 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Andrew C. Bolt </ recipientName >

< recipientCRDNumber > 1594587 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 133 Indian Lake Road </ street1 >

< street2 > 101 </ street2 >

< city > Hendersonville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37075 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Barry W. LeMay </ recipientName >

< recipientCRDNumber > 306332 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2542 S. Bascom Avenue </ street1 >

< street2 > #110 </ street2 >

< city > Campbell </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95008 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christina S. Nielson </ recipientName >

< recipientCRDNumber > 4866971 </ recipientCRDNumber >

< associatedBDName > Orchard Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 16878 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11650 S. State Street </ street1 >

< street2 > #225 </ street2 >

< city > Draper </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84020 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John P. Harvey JR </ recipientName >

< recipientCRDNumber > 4227692 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 N. Main Street </ street1 >

< street2 > #1203 </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ 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 > James F. Crawford JR </ recipientName >

< recipientCRDNumber > 1327638 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1951 Evelyn Byrd Ave </ street1 >

< street2 > STE E </ street2 >

< city > Harrisonburg </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 22801 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James R. Crocker </ recipientName >

< recipientCRDNumber > 5127548 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 319 Diablo Road </ street1 >

< street2 > #103 </ street2 >

< city > Danville </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94526 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ 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 > Jerald F. Gunn </ recipientName >

< recipientCRDNumber > 2475036 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 236 Clara Street </ street1 >

< street2 > #6 </ street2 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94107 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joshua C. Koehnen </ recipientName >

< recipientCRDNumber > 4551444 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2525 Camino Del Rio S. </ street1 >

< street2 > #152 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lawrence B. Miller </ recipientName >

< recipientCRDNumber > 4715505 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 10608 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 477 Pacific Drive </ street1 >

< street2 > 2nd Floor </ street2 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94133 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Levick (Lee) Henry </ recipientName >

< recipientCRDNumber > 5010732 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4300 B Street </ street1 >

< street2 > #505 </ street2 >

< city > Anchorage </ city >

< stateOrCountry > AK </ stateOrCountry >

< stateOrCountryDescription > ALASKA </ stateOrCountryDescription >

< zipCode > 99503 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ description >

< 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 > HI </ state >

< description > HAWAII </ description >

< state > NV </ state >

< description > NEVADA </ 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 > Patrick L. Horn </ recipientName >

< recipientCRDNumber > 2559951 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7545 Irvine Center Drive </ street1 >

< street2 > #200 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard J. Zaegel </ recipientName >

< recipientCRDNumber > 851991 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1229 S. Laclede Station Rd </ street1 >

< city > Webster Groves </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63119 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ 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 > MI </ state >

< description > MICHIGAN </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robyn H. Lee </ recipientName >

< recipientCRDNumber > 2846656 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1777 Borel Place </ street1 >

< street2 > #415 </ street2 >

< city > San Mateo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Gregory Steinthal </ recipientName >

< recipientCRDNumber > 435071 </ recipientCRDNumber >

< associatedBDName > Primex </ associatedBDName >

< associatedBDCRDNumber > 29394 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 45 Knollwood Road </ street1 >

< street2 > 4th Floor </ street2 >

< city > Elmsford </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10523 </ 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 > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Padma Chintapalli </ recipientName >

< recipientCRDNumber > 3041617 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 136974 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5775 Wayzata Blvd. </ street1 >

< street2 > STE #960 </ street2 >

< city > Minneapolis </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55416 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kelly H. Clyde </ recipientName >

< recipientCRDNumber > 4825839 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4630 Campus Drive </ street1 >

< street2 > STE #104 </ 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 > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kenneth C. Miles </ recipientName >

< recipientCRDNumber > 812979 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 242 E. Airport Drive </ street1 >

< street2 > STE #210 </ street2 >

< city > San Bernardino </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92408 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Johnathan (Jack) R. Creighton </ recipientName >

< recipientCRDNumber > 1495897 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 350 Lincoln Street </ street1 >

< street2 > #2400 </ street2 >

< city > Hingham </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02043 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael L. Hollinsworth </ recipientName >

< recipientCRDNumber > 1387904 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

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

< street2 > #700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< 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 > Debra J. Schleining </ recipientName >

< recipientCRDNumber > 2768752 </ recipientCRDNumber >

< associatedBDName > Lighthouse Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 41812 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 659 Abrego Street </ street1 >

< street2 > #6 </ street2 >

< city > Monterey </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93940 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel J. Luke </ recipientName >

< recipientCRDNumber > 4324353 </ recipientCRDNumber >

< associatedBDName > DFPG Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 406 W. S. Jordan Parkway </ street1 >

< street2 > #200 </ street2 >

< city > S. Jordan </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84095 </ 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 > ID </ state >

< description > IDAHO </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > OH </ state >

< description > OHIO </ 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 > Ralph Roy Ramirez </ recipientName >

< recipientCRDNumber > 370490 </ recipientCRDNumber >

< associatedBDName > Lighthouse Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 41812 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 659 Abrego Street </ street1 >

< street2 > STE #6 </ street2 >

< city > Monterey </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93940 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael John Skagen </ recipientName >

< recipientCRDNumber > 4085157 </ recipientCRDNumber >

< associatedBDName > Pacific West Securities </ associatedBDName >

< associatedBDCRDNumber > 6390 </ associatedBDCRDNumber >

- < recipientAddress >

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

< street2 > STE #700 </ street2 >

< city > Renton </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Damian J. Dering </ recipientName >

< recipientCRDNumber > 2854253 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 N. Westlake Blvd </ street1 >

< street2 > STE 203 </ street2 >

< city > Westlake Village </ 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 > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Larry G. Burkholder </ recipientName >

< recipientCRDNumber > 4002938 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 N. Westlake Blvd. </ street1 >

< street2 > STE 203 </ street2 >

< city > Westlake Village </ 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 > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ashlee Rae Turner </ recipientName >

< recipientCRDNumber > 5467536 </ recipientCRDNumber >

< associatedBDName > Lighthouse Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 41812 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 659 Abrego Street </ street1 >

< street2 > STE 6 </ street2 >

< city > Monterey </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93940 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 25000000 </ totalOfferingAmount >

< totalAmountSold > 15230365 </ totalAmountSold >

< totalRemaining > 9769635 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 225 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2625000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 250000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > CRE Strategic Opportunity Fund </ issuerName >

< signatureName > Paul M. Aiesi </ signatureName >

< nameOfSigner > Paul M. Aiesi </ nameOfSigner >

< signatureTitle > Vice President </ signatureTitle >

< signatureDate > 2011-06-08 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >