Form D Raw Data - Electronic Filing Depository

EFDID: 145409EFD: Raw Data

Issuer: Sealy Strategic Equity Partners, LP (0001562720) - D/A

Accession: 0001562720-16-000004 () (EDGAR Files) (Form D)

Edgar Posted: Nov. 30, 2016
EFD Posted: Nov. 30, 2016

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001562720 </ cik >

< entityName > Sealy Strategic Equity Partners, LP </ entityName >

- < issuerAddress >

< street1 > 333 TEXAS STREET </ street1 >

< street2 > SUITE 1050 </ street2 >

< city > SHREVEPORT </ city >

< stateOrCountry > LA </ stateOrCountry >

< stateOrCountryDescription > LOUISIANA </ stateOrCountryDescription >

< zipCode > 71101 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (318) 222-8700 </ issuerPhoneNumber >

< jurisdictionOfInc > GEORGIA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Partnership </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2012 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > MARK </ firstName >

< middleName > P. </ middleName >

< lastName > SEALY </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 333 TEXAS STREET </ street1 >

< street2 > SUITE 1050 </ street2 >

< city > SHREVEPORT </ city >

< stateOrCountry > LA </ stateOrCountry >

< stateOrCountryDescription > LOUISIANA </ stateOrCountryDescription >

< zipCode > 71101 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > PRESIDENT OF SOLE MEMBER AND MANAGER OF GENERAL PARTNER OF THE ISSUER </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > MICHAEL </ firstName >

< middleName > P. </ middleName >

< lastName > SEALY </ lastName >

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< street1 > 8401 NORTH CENTRAL EXPRESSWAY </ street1 >

< street2 > SUITE 150 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75225 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > VICE PRESIDENT OF SOLE MEMBER AND MANAGER OF GENERAL PARTNER OF THE ISSUER </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > SCOTT </ firstName >

< middleName > P. </ middleName >

< lastName > SEALY, SR. </ lastName >

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< street1 > 8401 NORTH CENTRAL EXPRESSWAY </ street1 >

< street2 > SUITE 150 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75225 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > CHAIRMAN AND CEO OF SOLE MEMBER AND MANAGER OF GENERAL PARTNER OF THE ISSUER </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > SCOTT </ firstName >

< middleName > P. </ middleName >

< lastName > SEALY, JR. </ lastName >

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< street1 > 8401 NORTH CENTRAL EXPRESSWAY </ street1 >

< street2 > SUITE 150 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75225 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > VICE PRESIDENT OF SOLE MEMBER AND MANAGER OF GENERAL PARTNER OF THE ISSUER </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Commercial </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001562720-15-000003 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2015-06-03 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 50000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > SUSAN GITT </ recipientName >

< recipientCRDNumber > 5580509 </ recipientCRDNumber >

< associatedBDName > EDI FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 15699 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1431 GREENWAY DRIVE </ street1 >

< street2 > SUITE 330 </ street2 >

< city > IRVING </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75038 </ 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 > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JASON N. SLEZAK </ recipientName >

< recipientCRDNumber > 2423323 </ recipientCRDNumber >

< associatedBDName > LANDOLT SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 28352 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 701 OREGON STREET </ street1 >

< city > OSHKOSH </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 54902 </ zipCode >

</ recipientAddress >

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< 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 > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DORY WILEY </ recipientName >

< recipientCRDNumber > 2034240 </ recipientCRDNumber >

< associatedBDName > COMMERCE STREET CAPITAL </ associatedBDName >

< associatedBDCRDNumber > 143797 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1445 ROSS AVE. </ street1 >

< street2 > SUITE 2700 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ROBERT MOSKWA </ recipientName >

< recipientCRDNumber > 5325293 </ recipientCRDNumber >

< associatedBDName > IBN FINANCIAL SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 42360 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8035 OSWEGO ROAD </ street1 >

< city > LIVERPOOL </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 13090 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOHN WILLIAMSON </ recipientName >

< recipientCRDNumber > 2357023 </ recipientCRDNumber >

< associatedBDName > EDI FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 15699 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1431 GREENWAY DRIVE </ street1 >

< street2 > SUITE 330 </ street2 >

< city > IRVING </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75038 </ 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 > FL </ state >

< description > FLORIDA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RANDALL HELLER </ recipientName >

< recipientCRDNumber > 1209975 </ recipientCRDNumber >

< associatedBDName > KCD FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 127473 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3313 S. PACKERLAND DRIVE </ street1 >

< street2 > SUITE E </ street2 >

< city > DE PERE </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 54115 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BRIAN HERKING </ recipientName >

< recipientCRDNumber > 4592871 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 E. NORTH STREET </ street1 >

< street2 > 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

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< state > IN </ state >

< description > INDIANA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BRIAN PARKER </ recipientName >

< recipientCRDNumber > 4280596 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 E. NORTH STREET </ street1 >

< street2 > 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

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< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TIMOTHY SHERER </ recipientName >

< recipientCRDNumber > 833618 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 E. NORTH STREET </ street1 >

< street2 > 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TRAWNEGAN GALL </ recipientName >

< recipientCRDNumber > 6266415 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 E. NORTH STREET </ street1 >

< street2 > 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTOPHER DUKES </ recipientName >

< recipientCRDNumber > 4712873 </ recipientCRDNumber >

< associatedBDName > VFG SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 15121 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 CORPORATE POINTE </ street1 >

< street2 > SUITE 382 </ street2 >

< city > CULVER CITY </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90230-7612 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MARK TREWITT </ recipientName >

< recipientCRDNumber > 1364490 </ recipientCRDNumber >

< associatedBDName > VFG SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 15121 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 CORPORATE POINTE </ street1 >

< street2 > SUITE 382 </ street2 >

< city > CULVER CITY </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90230-7612 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JAMES LAMONT </ recipientName >

< recipientCRDNumber > 2846228 </ recipientCRDNumber >

< associatedBDName > WHITEHALL-PARKER SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 10608 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 477 PACIFIC AVENUE </ 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 > PATRICK TERRY SHEA </ recipientName >

< recipientCRDNumber > 1654953 </ recipientCRDNumber >

< associatedBDName > WHITEHALL-PARKER SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 10608 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 477 PACIFIC AVENUE </ 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 >

< state > CO </ state >

< description > COLORADO </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOEL WOODS </ recipientName >

< recipientCRDNumber > 1470780 </ recipientCRDNumber >

< associatedBDName > EDI FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 15699 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5409 ACTON HIGHWAY </ street1 >

< city > GRANBURY </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 76049 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TERRY HARVEY </ recipientName >

< recipientCRDNumber > 2364966 </ recipientCRDNumber >

< associatedBDName > PTX SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 7735 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6221 CHAPEL HILL BLVD. </ street1 >

< street2 > SUITE 200 </ street2 >

< city > PLANO </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75093 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RICHARD HAMMOND </ recipientName >

< recipientCRDNumber > 2753264 </ recipientCRDNumber >

< associatedBDName > EDI FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 15699 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1431 GREENWAY DRIVE </ street1 >

< street2 > SUITE 330 </ street2 >

< city > IRVING </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75038 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ADAM COONS </ recipientName >

< recipientCRDNumber > 5265521 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1101 W LAKE STREET </ street1 >

< street2 > 1ST FLOOR </ street2 >

< city > CHICAGO </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60607 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BRENTON COLLINS </ recipientName >

< recipientCRDNumber > 4915000 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 160 S 68TH STREET </ street1 >

< street2 > SUITE 1204 </ street2 >

< city > WEST DES MOINES </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 50266 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BRIAN SCHWARTZ </ recipientName >

< recipientCRDNumber > 4414183 </ recipientCRDNumber >

< associatedBDName > FINANCIAL WEST GROUP </ associatedBDName >

< associatedBDCRDNumber > 16668 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19510 VENTURA BLVD </ street1 >

< street2 > SUITE 211 </ street2 >

< city > TARZANA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91356 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BRUCE SUMMERER </ recipientName >

< recipientCRDNumber > 1242176 </ recipientCRDNumber >

< associatedBDName > LANDOLT SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 28352 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 701 OREGON STREET </ street1 >

< city > OSHKOSH </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 28352 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTOPHER FESS </ recipientName >

< recipientCRDNumber > 1335361 </ recipientCRDNumber >

< associatedBDName > KCD FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 127473 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2595 DALLAS PARKWAY </ street1 >

< street2 > STE 450 </ street2 >

< city > FRISCO </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTOPHER HARTMAN </ recipientName >

< recipientCRDNumber > 1850747 </ recipientCRDNumber >

< associatedBDName > TKG FINANCIAL, LLC </ associatedBDName >

< associatedBDCRDNumber > 133104 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3757 STATE STREET </ street1 >

< street2 > SUITE 3A </ street2 >

< city > SANTA BARBARA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93105 </ 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 > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTOPHER HAYDEL </ recipientName >

< recipientCRDNumber > 2154349 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1101 W LAKE STREET </ street1 >

< street2 > 1ST FLOOR </ street2 >

< city > CHICAGO </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60607 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CRAIG BODDEN </ recipientName >

< recipientCRDNumber > 3209902 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 109 OLYMPIA WAY </ street1 >

< city > SAN FRANCISCO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94131 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DAVID ZUPEK </ recipientName >

< recipientCRDNumber > 2250376 </ recipientCRDNumber >

< associatedBDName > CONCORDE INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6226 BANKERS ROAD </ street1 >

< street2 > STE 4 </ street2 >

< city > RACINE </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53403 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ERIK SIMMONS </ recipientName >

< recipientCRDNumber > 2479132 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6005 HIDDEN VALLEY RD </ street1 >

< street2 > SUITE 290 </ street2 >

< city > CARLSBAD </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92011 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > GREGORY DANIEL VAN WYK </ recipientName >

< recipientCRDNumber > 4603281 </ recipientCRDNumber >

< associatedBDName > DANIEL INVESTMENT ASSOCIATES, LLC </ associatedBDName >

< associatedBDCRDNumber > 157284 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 923 SAINT VINCENT AVENUE </ street1 >

< street2 > SUITE B </ street2 >

< city > SANTA BARBARA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93101 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JACK R. THACKER, JR. </ recipientName >

< recipientCRDNumber > 2754773 </ recipientCRDNumber >

< associatedBDName > CENTER STREET SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 26898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2740 OLD ELM HILL PIKE </ street1 >

< street2 > STE 201 </ street2 >

< city > NASHVILLE </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37214 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JAY MEYER </ recipientName >

< recipientCRDNumber > 333118 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 E NORTH STREET </ street1 >

< street2 > 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOEY MILLER </ recipientName >

< recipientCRDNumber > 6175826 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1101 W LAKE STREET </ street1 >

< street2 > 1ST FLOOR </ street2 >

< city > CHICAGO </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60607 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOHN FERNEAU </ recipientName >

< recipientCRDNumber > 6136562 </ recipientCRDNumber >

< associatedBDName > BERTHEL, FISHER & COMPANY </ associatedBDName >

< associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 975 LINCOLN STREET </ street1 >

< street2 > SUITE 205 </ street2 >

< city > DENVER </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80203 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< 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 > MN </ state >

< description > MINNESOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOHN HEROUX </ recipientName >

< recipientCRDNumber > 4502714 </ recipientCRDNumber >

< associatedBDName > TKG FINANCIAL, LLC </ associatedBDName >

< associatedBDCRDNumber > 133104 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3757 STATE STREET </ street1 >

< street2 > SUITE 3A </ street2 >

< city > SANTA BARBARA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93105 </ 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 > IL </ state >

< description > ILLINOIS </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ 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 > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JONATHAN BRACKMANN </ recipientName >

< recipientCRDNumber > 4075152 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6005 HIDDEN VALLEY ROAD </ street1 >

< street2 > SUITE 290 </ street2 >

< 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 >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOSEPH MICHALETZ </ recipientName >

< recipientCRDNumber > 1327534 </ recipientCRDNumber >

< associatedBDName > CONCORDE INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 ST. ANDREWS CT. </ street1 >

< street2 > SUITE 210 </ street2 >

< city > MANKATO </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 56001 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > LANDON KEITH KELT, JR. </ recipientName >

< recipientCRDNumber > 4381974 </ recipientCRDNumber >

< associatedBDName > TKG FINANCIAL, LLC </ associatedBDName >

< associatedBDCRDNumber > 133104 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3757 STATE STREET </ street1 >

< street2 > SUITE 3A </ street2 >

< city > SANTA BARBARA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93105 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JAMES KEVIN JOHNSTON </ recipientName >

< recipientCRDNumber > 1689783 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 775 RIDGE LAKE BLVD </ street1 >

< street2 > SUITE 150 </ street2 >

< city > MEMPHIS </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 38120 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEVIN KOSLOFSKI </ recipientName >

< recipientCRDNumber > 3033810 </ recipientCRDNumber >

< associatedBDName > BERTHEL, FISHER & COMPANY </ associatedBDName >

< associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4201 42ND ST NE </ street1 >

< street2 > SUITE 100 </ street2 >

< city > CEDAR RAPIDS </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEVIN MANZO </ recipientName >

< recipientCRDNumber > 5277204 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6005 HIDDEN VALLEY RD </ street1 >

< street2 > SUITE 290 </ street2 >

< 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 >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEVIN NEVIN </ recipientName >

< recipientCRDNumber > 2460059 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 E NORTH STREET </ street1 >

< street2 > 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JERRY LEE GREENE JR </ recipientName >

< recipientCRDNumber > 2232914 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1101 W LAKE STREET </ street1 >

< street2 > 1ST FLOOR </ street2 >

< city > CHICAGO </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60607 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MARK HUBER </ recipientName >

< recipientCRDNumber > 5976354 </ recipientCRDNumber >

< associatedBDName > CONCORDE INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6226 BANKERS RD </ street1 >

< street2 > SUITE 4 </ street2 >

< city > RACINE </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53403 </ 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 > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MICHAEL JANIS </ recipientName >

< recipientCRDNumber > 5308832 </ recipientCRDNumber >

< associatedBDName > MADISON AVENUE SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 23224 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 15050 AVENUE OF SCIENCE </ street1 >

< street2 > SUITE 150 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92128 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MICHAEL SEID </ recipientName >

< recipientCRDNumber > 2872749 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6005 HIDDEN VALLEY RD </ street1 >

< street2 > SUITE 290 </ street2 >

< 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 >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > PHILIP ANTIA </ recipientName >

< recipientCRDNumber > 2187727 </ recipientCRDNumber >

< associatedBDName > NEWBRIDGE SECURITIES CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 104065 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5200 TOWN CENTER CIRCLE </ street1 >

< street2 > SUITE 308 </ street2 >

< city > BOCA RATON </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33486 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RICHARD ROBERT MAROTZKE JR. </ recipientName >

< recipientCRDNumber > 4693568 </ recipientCRDNumber >

< associatedBDName > BERTHEL, FISHER & COMPANY </ associatedBDName >

< associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4201 42ND ST NE </ street1 >

< street2 > SUITE 100 </ street2 >

< city > CEDAR RAPIDS </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 13609 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RICKY E BIEL </ recipientName >

< recipientCRDNumber > 4123346 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 E CORSON ST </ street1 >

< street2 > SUITE 310 </ street2 >

< city > PASADENA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ROBERT BINKOWSKI </ recipientName >

< recipientCRDNumber > 4814174 </ recipientCRDNumber >

< associatedBDName > ARETE WEALTH MANAGEMENT </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6005 HIDDEN VALLEY RD </ street1 >

< street2 > SUITE 290 </ street2 >

< city > CARLSBAD </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92011 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JULIE MAINS </ recipientName >

< recipientCRDNumber > 5149817 </ recipientCRDNumber >

< associatedBDName > NEWBRIDGE SECURITIES CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 104065 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5200 TOWN CENTER CIRCLE </ street1 >

< street2 > TOWER 1, STE 306 </ street2 >

< city > BOCA RATON </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33486 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< 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 > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TERRY ALLEN HERRON </ recipientName >

< recipientCRDNumber > 1172497 </ recipientCRDNumber >

< associatedBDName > NEW FRONTIER WEALTH MGMT </ associatedBDName >

< associatedBDCRDNumber > 147055 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3773 CHERRY CREEK NORTH DRIVE </ street1 >

< street2 > SUITE 575 </ street2 >

< city > DENVER </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > THOMAS S. ATKINS </ recipientName >

< recipientCRDNumber > 2006979 </ recipientCRDNumber >

< associatedBDName > FREEDOM INVESTORS CORP. </ associatedBDName >

< associatedBDCRDNumber > 23714 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 333 BISHOPS WAY </ street1 >

< street2 > STE 122 </ street2 >

< city > BROOKFIELD </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53005 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TODD R RHINE </ recipientName >

< recipientCRDNumber > 2384366 </ recipientCRDNumber >

< associatedBDName > IBN FINANCIAL SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 42360 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8035 OSWEGO RD </ street1 >

< city > LIVERPOOL </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 13090 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > SEYYED VALIALLAH NASR </ recipientName >

< recipientCRDNumber > 1052151 </ recipientCRDNumber >

< associatedBDName > CLARAPHI ADVISORY NETWORK, LLC </ associatedBDName >

< associatedBDCRDNumber > 165868 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 25401 CABOT ROAD </ street1 >

< street2 > SUITE 214 </ street2 >

< city > LAGUNA HILLS </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92653 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > VINCENT ANNABLE </ recipientName >

< recipientCRDNumber > 1033573 </ recipientCRDNumber >

< associatedBDName > CENTER STREET SECURITIES, INC. </ associatedBDName >

< associatedBDCRDNumber > 26898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2740 OLD ELM HILL PIKE </ street1 >

< street2 > SUITE 201 </ street2 >

< city > NASHVILLE </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37214 </ 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 > IL </ state >

< description > ILLINOIS </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > WILLIAM DANNER </ recipientName >

< recipientCRDNumber > 3236323 </ recipientCRDNumber >

< associatedBDName > MADISON AVENUE SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 23224 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 15050 AVENUE OF SCIENCE </ street1 >

< street2 > SUITE 150 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92128 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 500000000 </ totalOfferingAmount >

< totalAmountSold > 151425657 </ totalAmountSold >

< totalRemaining > 348574343 </ totalRemaining >

< clarificationOfResponse > OF THE $151,425,657 TOTAL AMOUNT SOLD, SOME WERE NON-CASH CONTRIBUTIONS DIRECTLY WITH THE ISSUER IN EXCHANGE FOR EQUITY IN ISSUER AND SOME WERE CASH INVESTMENTS IN EXCHANGE FOR EQUITY IN ISSUER, SOME OF WHICH INVOLVED BROKERS-DEALERS. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 501 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 27000000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Estimate assumes all securities sold in offering. Actual fees will be based on securities actually sold. Actual fees paid to date - $5,188,234.64. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 4500000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > Estimate represents maximum reimbursement for offering-related expenses to the General Partner if all securities are sold. Actual reimbursement paid will be based on securities actually sold. Actual reimbursement paid to date - $342,898.30. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Sealy Strategic Equity Partners, LP </ issuerName >

< signatureName > /s/ Mark P. Sealy </ signatureName >

< nameOfSigner > MARK P. SEALY </ nameOfSigner >

< signatureTitle > MANAGER OF THE GENERAL PARTNER </ signatureTitle >

< signatureDate > 2016-11-29 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >