Form D Raw Data - Electronic Filing Depository

EFDID: 27399EFD: Raw Data

Issuer: Aztec XI-B Oil & Gas LP/Aztec Energy LLC (0001505987) - D/A

Accession: 0001505987-11-000001 () (EDGAR Files) (Form D)

Edgar Posted: Jan. 7, 2011
EFD Posted: Aug. 7, 2014

- < edgarSubmission >

< schemaVersion > X0704 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001505987 </ cik >

< entityName > Aztec XI-B Oil & Gas LP/Aztec Energy LLC </ entityName >

- < issuerAddress >

< street1 > ONE RIVERWAY </ street1 >

< street2 > SUITE 1580 </ street2 >

< city > HOUSTON </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (713) 840-6444 </ issuerPhoneNumber >

< jurisdictionOfInc > NEVADA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Other </ entityType >

< entityTypeOtherDesc > Aztec XI Program (the Program) is the offering subject of this filing. If accepted, investors become partners of a partnership with Aztec Energy LLC Managing General Partner. Only one partnership is offered at a time until closed. </ entityTypeOtherDesc >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2010 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kenneth </ firstName >

< lastName > Lehrer </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Riverway </ street1 >

< street2 > Suite 1580 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of Aztec Oil & Gas, Inc. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Mark </ firstName >

< lastName > Vance </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Riverway </ street1 >

< street2 > Suite 1580 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of Aztec Oil & Gas, Inc. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Larry </ firstName >

< lastName > Hornbrook </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Riverway </ street1 >

< street2 > Suite 1580 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > CFO of Aztec Oil & Gas, Inc. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Dayton </ firstName >

< lastName > Wheeler </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Riverway </ street1 >

< street2 > Suite 1580 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of Aztec Oil & Gas, Inc. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Ariane </ firstName >

< lastName > Cox </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Riverway </ street1 >

< street2 > Suite 1580 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Vice President, Secretary-Treasurer, and Administrative Coordinator of Aztec Oil & Gas, Inc. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Waylan </ firstName >

< lastName > Johnson </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > One Riverway </ street1 >

< street2 > Suite 1580 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > President, Aztec Oil & Gas, Inc. </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Oil and Gas </ industryGroupType >

</ industryGroup >

- < issuerSize >

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

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001505987-10-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2010-11-29 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Limited Partnership Units </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 50000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Frank Currie </ recipientName >

< recipientCRDNumber > 1207937 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey R. Nesseth </ recipientName >

< recipientCRDNumber > 1983482 </ recipientCRDNumber >

< associatedBDName > QA3 Financial Corp. </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7000 Central Parkway </ street1 >

< street2 > Suite 1340 </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30328 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Steve Barton </ recipientName >

< recipientCRDNumber > 2788138 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Don DeWaay </ recipientName >

< recipientCRDNumber > 1297174 </ recipientCRDNumber >

< associatedBDName > DeWaay Financial Network, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30767 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13001 University Avenue </ street1 >

< city > Clive </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 50325 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kristopher F. Etter </ recipientName >

< recipientCRDNumber > 4562123 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5740 Prospect Avenue </ street1 >

< street2 > Suite 2000 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75206 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Oliver B. Williamson </ recipientName >

< recipientCRDNumber > 4642029 </ recipientCRDNumber >

< associatedBDName > Calton & Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 611 Hambley Blvd. </ street1 >

< street2 > Suite 3 </ street2 >

< city > Pikeville </ city >

< stateOrCountry > KY </ stateOrCountry >

< stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >

< zipCode > 41501 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Thomas M. Hille </ recipientName >

< recipientCRDNumber > 3070017 </ recipientCRDNumber >

< associatedBDName > WFP Securities </ associatedBDName >

< associatedBDCRDNumber > 35098 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 689 W. Foothill Blvd. </ street1 >

< street2 > Suite D </ street2 >

< city > Claremont </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91711 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James O. Conaway </ recipientName >

< recipientCRDNumber > 1920946 </ recipientCRDNumber >

< associatedBDName > QA3 Financial Corp. </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3000 E. Birch Street </ street1 >

< street2 > #109 </ street2 >

< city > Brea </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92821 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Tom D. English </ recipientName >

< recipientCRDNumber > 2459450 </ recipientCRDNumber >

< associatedBDName > WFP Securities </ associatedBDName >

< associatedBDCRDNumber > 35098 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5186 Carroll Canyon Rd. </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92121 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Gleeson </ recipientName >

< recipientCRDNumber > 2918661 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > W. Aubrey Morrow </ recipientName >

< recipientCRDNumber > 836500 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12636 High Bluff Dr. </ street1 >

< street2 > Suite 100 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Tom Rehberger </ recipientName >

< recipientCRDNumber > 1493001 </ recipientCRDNumber >

< associatedBDName > Nelson Reid </ associatedBDName >

< associatedBDCRDNumber > 45503 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14420 W. Sylvanfield Drive </ street1 >

< street2 > Suite 120 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77014 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Todd Condiff </ recipientName >

< recipientCRDNumber > 5193760 </ recipientCRDNumber >

< associatedBDName > Heritage Financial </ associatedBDName >

< associatedBDCRDNumber > 133019 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5 Great Valley Parkway </ street1 >

< street2 > Suite 334 </ street2 >

< city > Malvern </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19355 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Tim Sherer </ recipientName >

< recipientCRDNumber > 833618 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd., NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Terry Wheeler </ recipientName >

< recipientCRDNumber > 2163092 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Steven Orr </ recipientName >

< recipientCRDNumber > 1583467 </ recipientCRDNumber >

< associatedBDName > DeWaay Financial Network </ associatedBDName >

< associatedBDCRDNumber > 30767 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13001 University Ave. </ street1 >

< city > Clive </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 50325 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Steven Knowlton </ recipientName >

< recipientCRDNumber > 4527446 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen Scheller </ recipientName >

< recipientCRDNumber > 1732978 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stacey Rognon </ recipientName >

< recipientCRDNumber > 1898975 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joshua Patterson </ recipientName >

< recipientCRDNumber > 3077302 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Reisenweaver </ recipientName >

< recipientCRDNumber > 2485345 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Mrozek </ recipientName >

< recipientCRDNumber > 2410838 </ recipientCRDNumber >

< associatedBDName > Financial West </ associatedBDName >

< associatedBDCRDNumber > 16668 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4510 E. Thousand Oaks Blvd. </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91362 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scot Landborg </ recipientName >

< recipientCRDNumber > 4555602 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Aaron Brodt </ recipientName >

< recipientCRDNumber > 5017914 </ recipientCRDNumber >

< associatedBDName > Meridian United Capital </ associatedBDName >

< associatedBDCRDNumber > 122924 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8800 N. Gainey Center Dr. </ street1 >

< street2 > #176 </ street2 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85258 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Antonio Taddeo </ recipientName >

< recipientCRDNumber > 5110448 </ recipientCRDNumber >

< associatedBDName > Alternative Wealth Strategies </ associatedBDName >

< associatedBDCRDNumber > 130933 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1040 N. Kings Hwy. </ street1 >

< street2 > Suite 405 </ street2 >

< city > Cherry Hill </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Reardon </ recipientName >

< recipientCRDNumber > 2309779 </ recipientCRDNumber >

< associatedBDName > Alternative Wealth Strategies </ associatedBDName >

< associatedBDCRDNumber > 130933 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1040 N. Kings Hwy. </ street1 >

< street2 > Suite 405 </ street2 >

< city > Cherry Hill </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeff Rachlin </ recipientName >

< recipientCRDNumber > 823547 </ recipientCRDNumber >

< associatedBDName > Alternative Wealth Strategies </ associatedBDName >

< associatedBDCRDNumber > 130933 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1040 N. Kings Hwy. </ street1 >

< street2 > Suite 405 </ street2 >

< city > Cherry Hill </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Anthony Musto </ recipientName >

< recipientCRDNumber > 2474439 </ recipientCRDNumber >

< associatedBDName > Calton & Associates </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14497 N. Dale Mabry Hwy. </ street1 >

< street2 > Suite 215 </ street2 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Eliot Rosenberg </ recipientName >

< recipientCRDNumber > 1056584 </ recipientCRDNumber >

< associatedBDName > Calton & Associates </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14497 N. Dale Mabry Hwy. </ street1 >

< street2 > Suite 215 </ street2 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Howard Kaplan </ recipientName >

< recipientCRDNumber > 1171182 </ recipientCRDNumber >

< associatedBDName > Calton & Associates </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14497 N. Dale Mabry Hwy. </ street1 >

< street2 > Suite 215 </ street2 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Reedy </ recipientName >

< recipientCRDNumber > 3114264 </ recipientCRDNumber >

< associatedBDName > Calton & Associates </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14497 N. Dale Mabry Hwy. </ street1 >

< street2 > Suite 215 </ street2 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Phillip Couture </ recipientName >

< recipientCRDNumber > 734399 </ recipientCRDNumber >

< associatedBDName > Calton & Associates </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14497 N. Dale Mabry Hwy. </ street1 >

< street2 > Suite 215 </ street2 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Phillip King </ recipientName >

< recipientCRDNumber > 1839137 </ recipientCRDNumber >

< associatedBDName > Calton & Associates </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14497 N. Dale Mabry Hwy. </ street1 >

< street2 > Suite 215 </ street2 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Erickson </ recipientName >

< recipientCRDNumber > 2527905 </ recipientCRDNumber >

< associatedBDName > Capital Financial Services </ associatedBDName >

< associatedBDCRDNumber > 8408 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 North Main St. </ street1 >

< city > Minot </ city >

< stateOrCountry > ND </ stateOrCountry >

< stateOrCountryDescription > NORTH DAKOTA </ stateOrCountryDescription >

< zipCode > 58703 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Scullen </ recipientName >

< recipientCRDNumber > 807388 </ recipientCRDNumber >

< associatedBDName > Capital Financial Services </ associatedBDName >

< associatedBDCRDNumber > 8408 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 North Main St. </ street1 >

< city > Minot </ city >

< stateOrCountry > ND </ stateOrCountry >

< stateOrCountryDescription > NORTH DAKOTA </ stateOrCountryDescription >

< zipCode > 58703 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Al Vanderlaan </ recipientName >

< recipientCRDNumber > 1172406 </ recipientCRDNumber >

< associatedBDName > Capwest Securities </ associatedBDName >

< associatedBDCRDNumber > 30002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 420 10th Street NW </ street1 >

< city > Watertown </ city >

< stateOrCountry > SD </ stateOrCountry >

< stateOrCountryDescription > SOUTH DAKOTA </ stateOrCountryDescription >

< zipCode > 57201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joshua Cross </ recipientName >

< recipientCRDNumber > 4522751 </ recipientCRDNumber >

< associatedBDName > DeWaay Financial </ associatedBDName >

< associatedBDCRDNumber > 30767 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13001 University Ave. </ street1 >

< city > Clive </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 50325 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ronald Melanson </ recipientName >

< recipientCRDNumber > 331467 </ recipientCRDNumber >

< associatedBDName > DeWaay Financial </ associatedBDName >

< associatedBDCRDNumber > 30767 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13001 University Ave. </ street1 >

< city > Clive </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 50325 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Hunter Brownlie </ recipientName >

< recipientCRDNumber > 2349976 </ recipientCRDNumber >

< associatedBDName > Financial West </ associatedBDName >

< associatedBDCRDNumber > 16668 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4510 E. Thousand Oaks Blvd. </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91362 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph Merback </ recipientName >

< recipientCRDNumber > 2156180 </ recipientCRDNumber >

< associatedBDName > Financial West </ associatedBDName >

< associatedBDCRDNumber > 16668 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4510 E. Thousand Oaks Blvd. </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91362 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Dean Harvey </ recipientName >

< recipientCRDNumber > 3076399 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Bales </ recipientName >

< recipientCRDNumber > 1820734 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Treadway Brogdon </ recipientName >

< recipientCRDNumber > 1450806 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Leigh Zachary </ recipientName >

< recipientCRDNumber > 2508360 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nigel Bowman </ recipientName >

< recipientCRDNumber > 2022439 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Patrick Cruickshank </ recipientName >

< recipientCRDNumber > 4214868 </ recipientCRDNumber >

< associatedBDName > IMS Securities </ associatedBDName >

< associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10205 Westheimer </ street1 >

< street2 > Suite 500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77042 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Damian Dering </ recipientName >

< recipientCRDNumber > 2854253 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12636 High Bluff Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Peter McNeil </ recipientName >

< recipientCRDNumber > 4378567 </ recipientCRDNumber >

< associatedBDName > Independent Financial Group </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12636 High Bluff Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Anthony Mastroianni </ recipientName >

< recipientCRDNumber > 2151249 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Anthony Mowrer </ recipientName >

< recipientCRDNumber > 1947261 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Clint Gharib </ recipientName >

< recipientCRDNumber > 2070991 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Johnson </ recipientName >

< recipientCRDNumber > 1010443 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > G. Russell Conrad </ recipientName >

< recipientCRDNumber > 2746778 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Hawke </ recipientName >

< recipientCRDNumber > 4177415 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ID </ state >

< description > IDAHO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey Gove </ recipientName >

< recipientCRDNumber > 5490359 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard Stocker </ recipientName >

< recipientCRDNumber > 2573644 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Royce Running </ recipientName >

< recipientCRDNumber > 5202198 </ recipientCRDNumber >

< associatedBDName > J.P. Turner & Company </ associatedBDName >

< associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3060 Peachtree Rd. NW </ street1 >

< street2 > 11th Floor </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Welch </ recipientName >

< recipientCRDNumber > 4215661 </ recipientCRDNumber >

< associatedBDName > Kalos Capital </ associatedBDName >

< associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12900 Preston Rd </ street1 >

< street2 > Suite 400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75230 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Tweed </ recipientName >

< recipientCRDNumber > 2339324 </ recipientCRDNumber >

< associatedBDName > MAM Securities </ associatedBDName >

< associatedBDCRDNumber > 124620 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2060 Huntington Dr. </ street1 >

< street2 > Suite 1 </ street2 >

< city > San Marino </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Alan Schryer </ recipientName >

< recipientCRDNumber > 1847282 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christopher Passero </ recipientName >

< recipientCRDNumber > 2517681 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Craig Sutherland </ recipientName >

< recipientCRDNumber > 2001873 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Errol Mathieu </ recipientName >

< recipientCRDNumber > 4483259 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Danovich </ recipientName >

< recipientCRDNumber > 2782748 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Gaylor </ recipientName >

< recipientCRDNumber > 5643268 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Keith Offel </ recipientName >

< recipientCRDNumber > 2570946 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kelvin Bishop </ recipientName >

< recipientCRDNumber > 5148999 </ recipientCRDNumber >

< associatedBDName > Money Concepts </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 North Jog Road </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33418 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Edward Scro </ recipientName >

< recipientCRDNumber > 2821985 </ recipientCRDNumber >

< associatedBDName > Nelson Reid </ associatedBDName >

< associatedBDCRDNumber > 45503 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14420 W. Sylvanfield Drive </ street1 >

< street2 > Suite 120 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77014 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Matthew Hannan </ recipientName >

< recipientCRDNumber > 4852358 </ recipientCRDNumber >

< associatedBDName > Nelson Reid </ associatedBDName >

< associatedBDCRDNumber > 45503 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14420 W. Sylvanfield Drive </ street1 >

< street2 > Suite 120 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77014 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brent Turner </ recipientName >

< recipientCRDNumber > 2429805 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Frank Norton </ recipientName >

< recipientCRDNumber > 1069797 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey Meyers </ recipientName >

< recipientCRDNumber > 2192759 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph Byerly </ recipientName >

< recipientCRDNumber > 4187946 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Justin Irving </ recipientName >

< recipientCRDNumber > 4083643 </ recipientCRDNumber >

< associatedBDName > QA3 Financial </ associatedBDName >

< associatedBDCRDNumber > 14754 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Valmont Plaza </ street1 >

< street2 > 4th Floor </ street2 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Charles Bowers </ recipientName >

< recipientCRDNumber > 27270 </ recipientCRDNumber >

< associatedBDName > Steven Falk </ associatedBDName >

< associatedBDCRDNumber > 14297 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11280 Granite Ridge Dr. </ street1 >

< street2 > Unit 1042 </ street2 >

< city > Las Vegas </ city >

< stateOrCountry > NV </ stateOrCountry >

< stateOrCountryDescription > NEVADA </ stateOrCountryDescription >

< zipCode > 89135 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Peter Roe </ recipientName >

< recipientCRDNumber > 2255241 </ recipientCRDNumber >

< associatedBDName > Veritrust Financial </ associatedBDName >

< associatedBDCRDNumber > 106594 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3755 Capital of Texas Hwy S </ street1 >

< street2 > Ste 130 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78704 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Naviaux </ recipientName >

< recipientCRDNumber > 4895814 </ recipientCRDNumber >

< associatedBDName > WFP Securities </ associatedBDName >

< associatedBDCRDNumber > 35098 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5186 Carroll Canyon Rd </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92121 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Schooler </ recipientName >

< recipientCRDNumber > 2368308 </ recipientCRDNumber >

< associatedBDName > WFP Securities </ associatedBDName >

< associatedBDCRDNumber > 35098 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5186 Carroll Canyon Rd </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92121 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 50000000 </ totalOfferingAmount >

< totalAmountSold > 9919000 </ totalAmountSold >

< totalRemaining > 40081000 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 203 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 892710 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Aztec XI-B Oil & Gas LP/Aztec Energy LLC </ issuerName >

< signatureName > Ariane Cox </ signatureName >

< nameOfSigner > Ariane Cox </ nameOfSigner >

< signatureTitle > Vice President and Administrative Coordinator </ signatureTitle >

< signatureDate > 2011-01-06 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >