EFDID: 69194EFD: Raw Data

Issuer: APX Drilling Partners 2013-A, LP (0001568202) - D/A

Accession: 0001568202-14-000001 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: Jan. 24, 2014
EFD Posted: Aug. 7, 2014
- < edgarSubmission >
  < schemaVersion > X0707 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001568202 </ cik >
  < entityName > APX Drilling Partners 2013-A, LP </ entityName >
- < issuerAddress >
  < street1 > 591 DELAWARE AVENUE </ street1 >
  < city > BUFFALO </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ issuerAddress >
  < issuerPhoneNumber > 716-855-8090 </ issuerPhoneNumber >
  < jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >
- < issuerPreviousNameList >
  < value > None </ value >
  </ issuerPreviousNameList >
- < edgarPreviousNameList >
  < value > None </ value >
  </ edgarPreviousNameList >
  < entityType > Limited Partnership </ entityType >
- < yearOfInc >
  < withinFiveYears > true </ withinFiveYears >
  < value > 2013 </ value >
  </ yearOfInc >
  </ primaryIssuer >
- < relatedPersonsList >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Justin </ firstName >
  < lastName > Reich </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 591 Delaware Avenue </ street1 >
  < city > Buffalo </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > President of APX Energy, LLC the managing general partner and promoter of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > David </ firstName >
  < lastName > Cohen </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 591 Delaware Avenue </ street1 >
  < city > Buffalo </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Vice Presdent of APX Energy, LLC the managing general partner and promoter of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Scott </ firstName >
  < lastName > Dancy </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 591 Delaware Avenue </ street1 >
  < city > Buffalo </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Vice President of APX Energy, LLC and the managing general partner and prmoter of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Josh </ firstName >
  < lastName > Fagan </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 723 Interstate East </ street1 >
  < street2 > Suite 239 </ street2 >
  < city > Denton </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 76205 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > National Sales Director of APX Energy, LLC, the managing general partner and promoter of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Kyle </ firstName >
  < lastName > Donnelly </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 723 S. Interstate East </ street1 >
  < street2 > Suite 239 </ street2 >
  < city > Denton </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 76205 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Vice President of Sales of APX Energy, LLC, the managing general partner and promoter of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
  </ relatedPersonsList >
- < offeringData >
- < industryGroup >
  < industryGroupType > Oil and Gas </ industryGroupType >
  </ industryGroup >
- < issuerSize >
  < revenueRange > Decline to Disclose </ revenueRange >
  </ issuerSize >
- < federalExemptionsExclusions >
  < item > 06b </ item >
  </ federalExemptionsExclusions >
- < typeOfFiling >
- < newOrAmendment >
  < isAmendment > true </ isAmendment >
  < previousAccessionNumber > 0001568202-13-000001 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2013-03-08 </ value >
  </ dateOfFirstSale >
  </ typeOfFiling >
- < durationOfOffering >
  < moreThanOneYear > false </ moreThanOneYear >
  </ durationOfOffering >
- < typesOfSecuritiesOffered >
  < isEquityType > true </ isEquityType >
  </ typesOfSecuritiesOffered >
- < businessCombinationTransaction >
  < isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >
  < clarificationOfResponse />
  </ businessCombinationTransaction >
  < minimumInvestmentAccepted > 1000 </ minimumInvestmentAccepted >
- < salesCompensationList >
- < recipient >
  < recipientName > ARI Financial Services, Inc. </ recipientName >
  < recipientCRDNumber > 137608 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10740 Nall Avenue </ street1 >
  < street2 > Suite 235 </ street2 >
  < city > Overland Park </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66211 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < value > All States </ value >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > 1st Global Capital Corp. </ recipientName >
  < recipientCRDNumber > 30349 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1270 Merit Drive </ street1 >
  < street2 > Suite 1200 </ street2 >
  < city > Dallas </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 75251 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < value > All States </ value >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David Dyer </ recipientName >
  < recipientCRDNumber > 2179498 </ recipientCRDNumber >
  < associatedBDName > Alliance Affiliated Equities Corp. </ associatedBDName >
  < associatedBDCRDNumber > 23928 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7227 Metcalf Avenue </ street1 >
  < street2 > 201 </ street2 >
  < city > Overland Park </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66204 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < value > All States </ value >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas Cameron </ recipientName >
  < recipientCRDNumber > 6106348 </ recipientCRDNumber >
  < associatedBDName > Alliance Affiliated Equities Corp </ associatedBDName >
  < associatedBDCRDNumber > 23928 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7227 Metcalf Avenue </ street1 >
  < street2 > 201 </ street2 >
  < city > Overland Park </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66204 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ 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 > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > UT </ state >
  < description > UTAH </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael Roberts </ recipientName >
  < recipientCRDNumber > 5652195 </ recipientCRDNumber >
  < associatedBDName > Alliance Affiliated Equities Corp </ associatedBDName >
  < associatedBDCRDNumber > 23928 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7227 Metcalf Avenue </ street1 >
  < street2 > 201 </ street2 >
  < city > Overland Park </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66204 </ 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 > KS </ state >
  < description > KANSAS </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Marshall Dean III </ recipientName >
  < recipientCRDNumber > 5477075 </ recipientCRDNumber >
  < associatedBDName > Alliance Affiliated Equities Corp </ associatedBDName >
  < associatedBDCRDNumber > 23928 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > Alliance Affiliated Equities Corp </ street1 >
  < street2 > 201 </ street2 >
  < city > Overland Park </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66204 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > ID </ state >
  < description > IDAHO </ description >
  < state > IA </ state >
  < description > IOWA </ description >
  < state > KS </ state >
  < description > KANSAS </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > NV </ state >
  < description > NEVADA </ description >
  < state > NH </ state >
  < description > NEW HAMPSHIRE </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > UT </ state >
  < description > UTAH </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  < state > WY </ state >
  < description > WYOMING </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > American Portfolios Financial Services, Inc. </ recipientName >
  < recipientCRDNumber > 18487 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4250 Veterans Memorial Highway </ street1 >
  < street2 > 4th Floor East </ street2 >
  < city > Holbrook </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11741 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < value > All States </ value >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Andrew Topka </ recipientName >
  < recipientCRDNumber > 5070107 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher & Co. Financial Services Inc </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 192 East Bay Street </ street1 >
  < street2 > 200 </ street2 >
  < city > Charleston </ city >
  < stateOrCountry > SC </ stateOrCountry >
  < stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 29401 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > NH </ state >
  < description > NEW HAMPSHIRE </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > RI </ state >
  < description > RHODE ISLAND </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  < state > WY </ state >
  < description > WYOMING </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Charles Haddad </ recipientName >
  < recipientCRDNumber > 2553152 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher & Co. Financial Services Inc </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 701 Tama Street </ street1 >
  < street2 > Building B </ street2 >
  < city > Marion </ city >
  < stateOrCountry > IA </ stateOrCountry >
  < stateOrCountryDescription > IOWA </ stateOrCountryDescription >
  < zipCode > 52302 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > OK </ state >
  < description > OKLAHOMA </ 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 > Gilbert Sabatka </ recipientName >
  < recipientCRDNumber > 1229982 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher & Co. Financial Services Inc </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 227 Southwind Pl </ street1 >
  < city > Manhattan </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66503 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > AR </ state >
  < description > ARKANSAS </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > KS </ state >
  < description > KANSAS </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jingbo Pan </ recipientName >
  < recipientCRDNumber > 5266959 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher & Co. Financial Services Inc </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 421 New Castle Drive </ street1 >
  < city > Cary </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60013 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Sara Ng </ recipientName >
  < recipientCRDNumber > 2701165 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher & Co. Financial Services Inc </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1415 W 22nd Street </ street1 >
  < city > Oakbrook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Phillip King </ recipientName >
  < recipientCRDNumber > 1839137 </ recipientCRDNumber >
  < associatedBDName > Calton & Associates, Inc. </ 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 > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > LA </ state >
  < description > LOUISIANA </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > TN </ state >
  < description > TENNESSEE </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  < state > WV </ state >
  < description > WEST VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David Kosen </ recipientName >
  < recipientCRDNumber > 274166 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2300 E. Katella Avenue </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Anaheim </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92806 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > IA </ state >
  < description > IOWA </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Ken Finnell </ recipientName >
  < recipientCRDNumber > 1184110 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30822 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2300 E. Katella Avenue </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Anaheim </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92806 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Shunsuke Jimmy Fukushi </ recipientName >
  < recipientCRDNumber > 4933092 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30822 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2300 Katella Avenue </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Anaheim </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92806 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Steven Kremer </ recipientName >
  < recipientCRDNumber > 1188829 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30822 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2300 Katella </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Anaheim </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92806 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AK </ state >
  < description > ALASKA </ description >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  < state > DC </ state >
  < description > DISTRICT OF COLUMBIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William Meyer </ recipientName >
  < recipientCRDNumber > 1018380 </ recipientCRDNumber >
  < associatedBDName > Cutter & Co., Inc. </ associatedBDName >
  < associatedBDCRDNumber > 22449 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 15415 Clayton Rd </ street1 >
  < city > Ballwin </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 63011 </ 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 > DC </ state >
  < description > DISTRICT OF COLUMBIA </ 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 > KS </ state >
  < description > KANSAS </ description >
  < state > KY </ state >
  < description > KENTUCKY </ 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 > MO </ state >
  < description > MISSOURI </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NM </ state >
  < description > NEW MEXICO </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > OK </ state >
  < description > OKLAHOMA </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > TN </ state >
  < description > TENNESSEE </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  < state > UT </ state >
  < description > UTAH </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James Lockhart </ recipientName >
  < recipientCRDNumber > 4415115 </ recipientCRDNumber >
  < associatedBDName > Harbor Light Securities, inc. </ associatedBDName >
  < associatedBDCRDNumber > 130227 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1211 North Westshore Blvd </ street1 >
  < street2 > Suite 105 </ street2 >
  < city > Tampa </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33607 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Klaus Schoenig </ recipientName >
  < recipientCRDNumber > 414748 </ recipientCRDNumber >
  < associatedBDName > Harbor Light Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 130227 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1211 Westshore Blvd </ street1 >
  < street2 > Suite 105 </ street2 >
  < city > Tampa </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33607 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Independent Financial Group, LLC </ recipientName >
  < recipientCRDNumber > 7717 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12671 High Bluff Drive </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92130 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < value > All States </ value >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James Phelan </ recipientName >
  < recipientCRDNumber > 362251 </ recipientCRDNumber >
  < associatedBDName > IMS Seurities, 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 > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > HI </ state >
  < description > HAWAII </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > KS </ state >
  < description > KANSAS </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > NM </ state >
  < description > NEW MEXICO </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ 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 > Daryl Miller </ recipientName >
  < recipientCRDNumber > 2706426 </ recipientCRDNumber >
  < associatedBDName > Investors Capital Corp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6 Kimball Lane </ street1 >
  < city > Lynnfield </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 01940 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > ME </ state >
  < description > MAINE </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gary Aiken </ recipientName >
  < recipientCRDNumber > 1036253 </ recipientCRDNumber >
  < associatedBDName > Investors Capital Corp., Inc, </ associatedBDName >
  < associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6 Kimball Lane </ street1 >
  < city > Lynnfield </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 01940 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > DC </ state >
  < description > DISTRICT OF COLUMBIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > IA </ state >
  < description > IOWA </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > MT </ state >
  < description > MONTANA </ description >
  < state > NV </ state >
  < description > NEVADA </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NM </ state >
  < description > NEW MEXICO </ description >
  < state > ND </ state >
  < description > NORTH DAKOTA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  < state > WY </ state >
  < description > WYOMING </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Stanley Marcus </ recipientName >
  < recipientCRDNumber > 2508542 </ recipientCRDNumber >
  < associatedBDName > Investors Capital Corp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6 Kimball Lane </ street1 >
  < city > Lynnfield </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 01940 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  < state > DE </ state >
  < description > DELAWARE </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Stuar Haw </ recipientName >
  < recipientCRDNumber > 2905167 </ recipientCRDNumber >
  < associatedBDName > Investors Capital Corp., Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30613 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6 Kimball Lane </ street1 >
  < city > Lynnfield </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 09140 </ 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 > FL </ state >
  < description > FLORIDA </ description >
  < state > ID </ state >
  < description > IDAHO </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > NH </ state >
  < description > NEW HAMPSHIRE </ 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 > Fred Baerenz </ recipientName >
  < recipientCRDNumber > 2388453 </ recipientCRDNumber >
  < associatedBDName > Kalos Capital </ associatedBDName >
  < associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3780 Mansell Rd </ street1 >
  < street2 > Suite 150 </ street2 >
  < city > Alpharetta </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30022 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > AR </ state >
  < description > ARKANSAS </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  < state > DC </ state >
  < description > DISTRICT OF COLUMBIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > KS </ state >
  < description > KANSAS </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > MI </ state >
  < description > MICHIGAN </ 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 > TN </ state >
  < description > TENNESSEE </ description >
  < state > UT </ state >
  < description > UTAH </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Roger Shake </ recipientName >
  < recipientCRDNumber > 1302570 </ recipientCRDNumber >
  < associatedBDName > Perryman Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 116502 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12221 Merit Drive </ street1 >
  < street2 > Suite 1660 </ street2 >
  < city > Dallas </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 75251 </ 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 > OH </ state >
  < description > OHIO </ 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 > Steven Wachs </ recipientName >
  < recipientCRDNumber > 1025803 </ recipientCRDNumber >
  < associatedBDName > Perryman Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 116502 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12221 Merit Drive </ street1 >
  < street2 > Suite 1660 </ street2 >
  < city > Dallas </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 75251 </ 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 > TX </ state >
  < description > TEXAS </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William Perryman </ recipientName >
  < recipientCRDNumber > 1222746 </ recipientCRDNumber >
  < associatedBDName > Perryman Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 116502 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12221 Merit Drive </ street1 >
  < street2 > Suite 1660 </ street2 >
  < city > Dallas </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 75251 </ 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 > FL </ state >
  < description > FLORIDA </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > OK </ state >
  < description > OKLAHOMA </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Chris St. John </ recipientName >
  < recipientCRDNumber > 4357665 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2200 Century Pkwy </ street1 >
  < street2 > Suite 500 </ street2 >
  < city > Atlanta </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30345 </ 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 > GA </ state >
  < description > GEORGIA </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > MT </ state >
  < description > MONTANA </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NM </ state >
  < description > NEW MEXICO </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  < state > WV </ state >
  < description > WEST VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Glenn Wilkinson </ recipientName >
  < recipientCRDNumber > 2115640 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2200 Century Parkway </ street1 >
  < street2 > Suite 500 </ street2 >
  < city > Atlanta </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30345 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > KS </ state >
  < description > KANSAS </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  < state > TN </ state >
  < description > TENNESSEE </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  < state > WV </ state >
  < description > WEST VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Richard Sanford </ recipientName >
  < recipientCRDNumber > 725314 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2200 Century Pkwy </ street1 >
  < street2 > Suite 500 </ street2 >
  < city > Atlanta </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30345 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AL </ state >
  < description > ALABAMA </ description >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Brian Lehner </ recipientName >
  < recipientCRDNumber > 198449 </ 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 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jason Vanclef </ recipientName >
  < recipientCRDNumber > 5096529 </ 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 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  < state > NV </ state >
  < description > NEVADA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > OR </ state >
  < description > OREGON </ description >
  < state > TN </ state >
  < description > TENNESSEE </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mark Trewitt </ recipientName >
  < recipientCRDNumber > 1364990 </ 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 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  < state > UT </ state >
  < description > UTAH </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 50000000 </ totalOfferingAmount >
  < totalAmountSold > 15445900 </ totalAmountSold >
  < totalRemaining > 34554100 </ totalRemaining >
  < clarificationOfResponse > Offering is closed. </ clarificationOfResponse >
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 252 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 1176905 </ dollarAmount >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  </ findersFees >
  < clarificationOfResponse />
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 1265297 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ grossProceedsUsed >
  < clarificationOfResponse > Managing general partner received an engineering and completion fee based on issuer's share of the cost of the wells it drills. </ clarificationOfResponse >
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > APX Drilling Partners 2013-A, LP </ issuerName >
  < signatureName > David Cohen </ signatureName >
  < nameOfSigner > David Cohen </ nameOfSigner >
  < signatureTitle > V. P., APX Energy, LLC </ signatureTitle >
  < signatureDate > 2014-01-24 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: Jan. 24, 2014
EFD Posted: Aug. 7, 2014