EFDID: 147299EFD: Raw Data

Issuer: Bi-Coastal Home Improvement DST (0001650543) - D/A

Accession: 0001650543-15-000004 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: Sep. 29, 2015
EFD Posted: Sep. 29, 2015
- < edgarSubmission >
  < schemaVersion > X0707 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001650543 </ cik >
  < entityName > Bi-Coastal Home Improvement DST </ entityName >
- < issuerAddress >
  < street1 > 2901 BUTTERFIELD ROAD </ street1 >
  < city > OAK BROOK </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ issuerAddress >
  < issuerPhoneNumber > 630-218-8000 </ issuerPhoneNumber >
  < jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >
- < issuerPreviousNameList >
  < value > None </ value >
  </ issuerPreviousNameList >
- < edgarPreviousNameList >
  < value > None </ value >
  </ edgarPreviousNameList >
  < entityType > Other </ entityType >
  < entityTypeOtherDesc > Delaware Statutory Trust </ entityTypeOtherDesc >
- < yearOfInc >
  < withinFiveYears > true </ withinFiveYears >
  < value > 2015 </ value >
  </ yearOfInc >
  </ primaryIssuer >
- < relatedPersonsList >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Capital Corporation </ firstName >
  < lastName > Inland Private </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Sponsor of the Issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Improvement, L.L.C. </ firstName >
  < lastName > Bi-Coastal Home </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Depositor of the Issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Improvement Exchange, L.L.C. </ firstName >
  < lastName > Bi-Coastal Home </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Signatory Trustee of the Issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Keith </ firstName >
  < lastName > Lampi </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Mr. Lampi is the President of Inland Private Capital Corporation, the Member of Bi-Coastal Home Improvement Exchange, L.L.C., the Signatory Trustee of Bi-Coastal Home Improvement DST. </ relationshipClarification >
  </ relatedPersonInfo >
  </ relatedPersonsList >
- < offeringData >
- < industryGroup >
  < industryGroupType > Other Real Estate </ industryGroupType >
  </ industryGroup >
- < issuerSize >
  < revenueRange > Decline to Disclose </ revenueRange >
  </ issuerSize >
- < federalExemptionsExclusions >
  < item > 06b </ item >
  </ federalExemptionsExclusions >
- < typeOfFiling >
- < newOrAmendment >
  < isAmendment > true </ isAmendment >
  < previousAccessionNumber > 0001650543-15-000003 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2015-07-30 </ value >
  </ dateOfFirstSale >
  </ typeOfFiling >
- < durationOfOffering >
  < moreThanOneYear > false </ moreThanOneYear >
  </ durationOfOffering >
- < typesOfSecuritiesOffered >
  < isOtherType > true </ isOtherType >
  < descriptionOfOtherType > Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate. </ descriptionOfOtherType >
  </ typesOfSecuritiesOffered >
- < businessCombinationTransaction >
  < isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >
  < clarificationOfResponse />
  </ businessCombinationTransaction >
  < minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >
- < salesCompensationList >
- < recipient >
  < recipientName > John G. Chess </ recipientName >
  < recipientCRDNumber > 4812430 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4263 Gavin Lane </ street1 >
  < city > Columbus </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 43220 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OH </ state >
  < description > OHIO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jennifer J. Homman </ recipientName >
  < recipientCRDNumber > 4303375 </ recipientCRDNumber >
  < associatedBDName > Harbour Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 19258 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 321 North Main Street </ street1 >
  < city > Deforest </ city >
  < stateOrCountry > WI </ stateOrCountry >
  < stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >
  < zipCode > 53532 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James J. Panzer, Jr. </ recipientName >
  < recipientCRDNumber > 2099482 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 709 Broadmeadow, Unit H </ street1 >
  < city > Rantoul </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 61866 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael G. Steinthal </ recipientName >
  < recipientCRDNumber > 435071 </ recipientCRDNumber >
  < associatedBDName > Primex </ associatedBDName >
  < associatedBDCRDNumber > 29394 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 45 Knollwood Road, 4th Floor </ street1 >
  < city > Elmsford </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10523 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jean-Louis Guinchard </ recipientName >
  < recipientCRDNumber > 1983431 </ recipientCRDNumber >
  < associatedBDName > Silver Portal Capital LLC </ associatedBDName >
  < associatedBDCRDNumber > 114290 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12265 El Camino Real, Suite 230 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92130 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AR </ state >
  < description > ARKANSAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert R. Tweed </ recipientName >
  < recipientCRDNumber > 2339324 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2060 Huntington Drive, Suite 1 </ street1 >
  < city > San Marino </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91108 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Patrick R. Conway </ recipientName >
  < recipientCRDNumber > 1337831 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Donald R. Hehir, Jr. </ recipientName >
  < recipientCRDNumber > 1571539 </ recipientCRDNumber >
  < associatedBDName > Commonwealth Financial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 180 East main Street, Suite 202 </ street1 >
  < city > Smithtown </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11787 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Hagop (Jacob) S. Tujian </ recipientName >
  < recipientCRDNumber > 4605467 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 825 Colorado Boulevard, Suite 201 </ street1 >
  < city > Los Angeles </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90041 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Alexandro L. Filippini </ recipientName >
  < recipientCRDNumber > 5043549 </ recipientCRDNumber >
  < associatedBDName > Silver Portal Capital LLC </ associatedBDName >
  < associatedBDCRDNumber > 114290 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12265 El Camino Real, Suite 230 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92130 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jason H. Freeman </ recipientName >
  < recipientCRDNumber > 2995587 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8 Pelham Road </ street1 >
  < city > Greenville </ city >
  < stateOrCountry > SC </ stateOrCountry >
  < stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 29615 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert E. Burns </ recipientName >
  < recipientCRDNumber > 4066393 </ recipientCRDNumber >
  < associatedBDName > VSR Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 14503 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5350 South Roslyn Street, Suite 370 </ street1 >
  < city > Greenwood Village </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80111 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David T. Marshall </ recipientName >
  < recipientCRDNumber > 2843252 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1586 Moffett Street, Suite F </ street1 >
  < city > Salinas </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 93905 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jay M. Diamond </ recipientName >
  < recipientCRDNumber > 1293312 </ recipientCRDNumber >
  < associatedBDName > Commonwealth FInancial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6580 Main Street </ street1 >
  < city > Stratford </ city >
  < stateOrCountry > CT </ stateOrCountry >
  < stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >
  < zipCode > 06614 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Scott D. Offerman </ recipientName >
  < recipientCRDNumber > 4619093 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 28 West 44th Street, Suite 902 </ street1 >
  < city > New York </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10036 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Dwight K. Kay </ recipientName >
  < recipientCRDNumber > 5376903 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 304 Inverness Way South, Suite 355 </ street1 >
  < city > Centennial </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80112 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Timothy J. Warren </ recipientName >
  < recipientCRDNumber > 4093611 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1200 Paseo Camarillo, Suite 150 </ street1 >
  < city > Camarillo </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 93010 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert S. Smith </ recipientName >
  < recipientCRDNumber > 1412333 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5000 Meadows Road, Suite 230 </ street1 >
  < city > Lake Oswego </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97035 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NV </ state >
  < description > NEVADA </ description >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christina S. Nielson </ recipientName >
  < recipientCRDNumber > 4866971 </ recipientCRDNumber >
  < associatedBDName > Primex </ associatedBDName >
  < associatedBDCRDNumber > 29394 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 650 Town Center Drive, Suite 1400 </ street1 >
  < city > Costa Mesa </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92626 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Eric S. Scaff </ recipientName >
  < recipientCRDNumber > 5281210 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 300 Montgomery Street, Suite 631 </ street1 >
  < city > San Francisco </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94101 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kerri M. Sullivan-Kreiss </ recipientName >
  < recipientCRDNumber > 2141713 </ recipientCRDNumber >
  < associatedBDName > Commonwealth Financial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 225 Cedar Hill Street, Suite 200 </ street1 >
  < city > Marlborough </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 01752 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Eric J. Glassbrenner </ recipientName >
  < recipientCRDNumber > 4160645 </ recipientCRDNumber >
  < associatedBDName > Center Street Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 26898 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8150 Perry Highway, Suite 208 </ street1 >
  < city > Pittsburgh </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 15237 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Anthony Nori </ recipientName >
  < recipientCRDNumber > 1238551 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6505 Knollwood Drive </ street1 >
  < city > McKinney </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 75070 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Daniel R. Mueller </ recipientName >
  < recipientCRDNumber > 4464268 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5635 NE Elam Young Parkway, Suite 100 </ street1 >
  < city > Hillsboro </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97124 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Lawrence L. Bushnell </ recipientName >
  < recipientCRDNumber > 1553497 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1551 Livingston Avenue, Suite 102 </ street1 >
  < city > West Saint Paul </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 55127 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James A. Davenport </ recipientName >
  < recipientCRDNumber > 2200818 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 505 Olive Street </ street1 >
  < city > Winston-Salem </ city >
  < stateOrCountry > NC </ stateOrCountry >
  < stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 27103 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gregory C. Mottau </ recipientName >
  < recipientCRDNumber > 341596 </ recipientCRDNumber >
  < associatedBDName > FSC Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3819 NE Columbia Boulevard </ street1 >
  < city > Portland </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97211 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Ann H. Stewart </ recipientName >
  < recipientCRDNumber > 2388888 </ recipientCRDNumber >
  < associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2114 North Lincoln Avenue, Suite 206 </ street1 >
  < city > Loveland </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80538 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Sterling D. Neblett </ recipientName >
  < recipientCRDNumber > 4972455 </ recipientCRDNumber >
  < associatedBDName > Spire Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 144131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7901 Jones Branch Drive, Suite 800 </ street1 >
  < city > McLean </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22102 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Wendy A. Payne </ recipientName >
  < recipientCRDNumber > 5083969 </ recipientCRDNumber >
  < associatedBDName > Spire Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 144131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7901 Jones Branch Drive, Suite 800 </ street1 >
  < city > McLean </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22102 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mark D. Pedersen </ recipientName >
  < recipientCRDNumber > 1283866 </ recipientCRDNumber >
  < associatedBDName > Sandlapper Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 800 East North Avenue, 2nd Floor </ street1 >
  < city > Greenville </ city >
  < stateOrCountry > SC </ stateOrCountry >
  < stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 29601 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mark J. Rychel </ recipientName >
  < recipientCRDNumber > 2262582 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3870 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2000 Corporate Drive, Suite 350 </ street1 >
  < city > Wexford </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 15090 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Samuel W. Watters </ recipientName >
  < recipientCRDNumber > 2519478 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4001 West Park Avenue </ street1 >
  < city > Orange </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 77630 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Samuel W. Waters, Jr. </ recipientName >
  < recipientCRDNumber > 4823728 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4001 Park Avenue </ street1 >
  < city > Orange </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 77630 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Craig E. Lewelling </ recipientName >
  < recipientCRDNumber > 2402982 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 900 Washington Street, Suite 840 </ street1 >
  < city > Vancouver </ city >
  < stateOrCountry > WA </ stateOrCountry >
  < stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >
  < zipCode > 98660 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Habib M. Iskander </ recipientName >
  < recipientCRDNumber > 2326918 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7700 Irvine Center Drive, Suite 800 </ street1 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92618 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Darren C. Brooks </ recipientName >
  < recipientCRDNumber > 2601668 </ recipientCRDNumber >
  < associatedBDName > Commonwealth Financial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7201 Center Street </ street1 >
  < city > Mentor </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 44060 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OH </ state >
  < description > OHIO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Peter D. Fisher </ recipientName >
  < recipientCRDNumber > 1259923 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kathleen C. Kovar </ recipientName >
  < recipientCRDNumber > 4666755 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3800 Blackhawk Road, Suite 100 </ street1 >
  < city > Danville </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94506 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Stephanie A. Menke </ recipientName >
  < recipientCRDNumber > 4548579 </ recipientCRDNumber >
  < associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4500 Bob Billings Parkway, Suite 109 </ street1 >
  < city > Lawrence </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66049 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > KS </ state >
  < description > KANSAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Brian D. Vosberg </ recipientName >
  < recipientCRDNumber > 4476509 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 715 West Foothill Boulevard </ street1 >
  < city > Glendora </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91741 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Timothy W. Greer </ recipientName >
  < recipientCRDNumber > 731658 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 100 Winners Circle North, Suite 105 </ street1 >
  < city > Brentwood </ city >
  < stateOrCountry > TN </ stateOrCountry >
  < stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >
  < zipCode > 37027-1064 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TN </ state >
  < description > TENNESSEE </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas F. Mengel </ recipientName >
  < recipientCRDNumber > 706823 </ recipientCRDNumber >
  < associatedBDName > Cetera Financial Specialists LLC </ associatedBDName >
  < associatedBDCRDNumber > 10358 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12213 Big Bend Road </ street1 >
  < city > Kirkwood </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 63122 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Nicholas Mengel </ recipientName >
  < recipientCRDNumber > 5154776 </ recipientCRDNumber >
  < associatedBDName > Cetera Financial Specialists LLC </ associatedBDName >
  < associatedBDCRDNumber > 10358 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12213 Big Bend Road </ street1 >
  < city > Kirkwood </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 63122 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Carl M. Strozyk </ recipientName >
  < recipientCRDNumber > 2317341 </ recipientCRDNumber >
  < associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 139 North Main Street, Suite 300 </ street1 >
  < city > Bel Air </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 21014 </ zipCode >
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- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Brion P. Harris </ recipientName >
  < recipientCRDNumber > 3199095 </ recipientCRDNumber >
  < associatedBDName > Summit Brokerage Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34643 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 115 West Street, Suite 400 </ street1 >
  < city > Annapolis </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 21401 </ zipCode >
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  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christopher A. Pratt </ recipientName >
  < recipientCRDNumber > 1043894 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6390 Greenwich Drive, Suite 230 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92122 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Robert W. Bruner </ recipientName >
  < recipientCRDNumber > 2260319 </ recipientCRDNumber >
  < associatedBDName > Questar Capital Corporation </ associatedBDName >
  < associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >
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  < street1 > 22 West Main Street </ street1 >
  < city > Mountville </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 17554 </ zipCode >
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  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Jack W. Ellison </ recipientName >
  < recipientCRDNumber > 2584997 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 490 South Farrel Drive, Suite C201 </ street1 >
  < city > Palm Springs </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92262 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Karl L. Hambrecht </ recipientName >
  < recipientCRDNumber > 844047 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 139 Indian Hill Street </ street1 >
  < city > West Newbury </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 01985 </ zipCode >
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  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Chay T. Lapin </ recipientName >
  < recipientCRDNumber > 6275140 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2516 Via Tejon, Suite 210 </ street1 >
  < city > Palos Verdes Estates </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90274 </ zipCode >
  </ recipientAddress >
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  < state > NV </ state >
  < description > NEVADA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Roger T. Tadsen </ recipientName >
  < recipientCRDNumber > 1053510 </ recipientCRDNumber >
  < associatedBDName > Northland Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 40258 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 45 South 7th Street, 20th Floor </ street1 >
  < city > Minneapolis </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 55402 </ zipCode >
  </ recipientAddress >
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  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John T. Christy </ recipientName >
  < recipientCRDNumber > 4573758 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5950 North Oak Trafficway, Suite 201 </ street1 >
  < city > Kansas City </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 64118 </ zipCode >
  </ recipientAddress >
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  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Delmar V. McKinney, II </ recipientName >
  < recipientCRDNumber > 1186853 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 700 North Main Street </ street1 >
  < city > Taylor </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 76574 </ zipCode >
  </ recipientAddress >
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  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Maurice W. McKinney </ recipientName >
  < recipientCRDNumber > 1036808 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 700 North Main Street </ street1 >
  < city > Taylor </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 76574 </ zipCode >
  </ recipientAddress >
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  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gerrin P. DeGroot </ recipientName >
  < recipientCRDNumber > 4817044 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 824 Pine Street </ street1 >
  < city > Klamath Falls </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97601-6039 </ zipCode >
  </ recipientAddress >
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  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Spencer L. Weston </ recipientName >
  < recipientCRDNumber > 1482772 </ recipientCRDNumber >
  < associatedBDName > Questar Capital Corporation </ associatedBDName >
  < associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3420 Coach Lane, Suite 14 </ street1 >
  < city > Cameron Park </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95682 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Bart P. Allard </ recipientName >
  < recipientCRDNumber > 4588093 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 107 North 37th Street </ street1 >
  < city > Rogers </ city >
  < stateOrCountry > AR </ stateOrCountry >
  < stateOrCountryDescription > ARKANSAS </ stateOrCountryDescription >
  < zipCode > 72756 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Shannon M. Markle </ recipientName >
  < recipientCRDNumber > 4358151 </ recipientCRDNumber >
  < associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 506 South 21st Street </ street1 >
  < city > Laramie </ city >
  < stateOrCountry > WY </ stateOrCountry >
  < stateOrCountryDescription > WYOMING </ stateOrCountryDescription >
  < zipCode > 82070 </ zipCode >
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  < description > WYOMING </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > James M. Raine </ recipientName >
  < recipientCRDNumber > 2360466 </ recipientCRDNumber >
  < associatedBDName > Questar Capital Corporation </ associatedBDName >
  < associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >
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  < street1 > 1220 West Ash Street, Suite E </ street1 >
  < city > Windsor </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80550 </ zipCode >
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  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Hugh O. Barndollar, Sr. </ recipientName >
  < recipientCRDNumber > 2084783 </ recipientCRDNumber >
  < associatedBDName > Crown Capital Securities, L.P. </ associatedBDName >
  < associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2719 Letap Court, Suite 102 </ street1 >
  < city > Land O'Lakes </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 34638 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MT </ state >
  < description > MONTANA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Yiping M. Ma </ recipientName >
  < recipientCRDNumber > 4473131 </ recipientCRDNumber >
  < associatedBDName > Cetera Financial Specialists LLC </ associatedBDName >
  < associatedBDCRDNumber > 10358 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 211-08 35th Avenue </ street1 >
  < city > Bayside </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11361 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael T. Janis </ recipientName >
  < recipientCRDNumber > 5308832 </ recipientCRDNumber >
  < associatedBDName > Madison Avenue Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 23224 </ associatedBDCRDNumber >
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  < street1 > 3655 Torrance Boulevard, Suite 250 </ street1 >
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  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90503 </ zipCode >
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  < associatedBDName > Money Concepts Capital Corp. </ associatedBDName >
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  < street1 > 3979 Teays Valley Road </ street1 >
  < city > Hurricane </ city >
  < stateOrCountry > WV </ stateOrCountry >
  < stateOrCountryDescription > WEST VIRGINIA </ stateOrCountryDescription >
  < zipCode > 25526 </ zipCode >
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  < recipientName > Cynthia A. Selfridge </ recipientName >
  < recipientCRDNumber > 4215878 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 5001 California Avenue, Suite 125 </ street1 >
  < city > Bakerfield </ city >
  < stateOrCountry > CA </ stateOrCountry >
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  < zipCode > 93309 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < recipientName > Matthew E. Roberson </ recipientName >
  < recipientCRDNumber > 3090052 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 2105 South Bascom Avenue, Suite 300 </ street1 >
  < city > Campbell </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95008 </ zipCode >
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  < description > TEXAS </ description >
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  < recipientName > William S. Sheehan </ recipientName >
  < recipientCRDNumber > 2328614 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
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  < street1 > 2 Orr Hatch Drive </ street1 >
  < city > Cornwall </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 12518 </ zipCode >
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  < description > NEW YORK </ description >
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  < recipientName > Kirk D. Dobson </ recipientName >
  < recipientCRDNumber > 4049865 </ recipientCRDNumber >
  < associatedBDName > Ameritas Investment Corp. </ associatedBDName >
  < associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >
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  < street1 > 3150 Crow Canyon Place, Suite 200 </ street1 >
  < city > San Ramon </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94583 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < recipientName > Donald P. Westerhoff </ recipientName >
  < recipientCRDNumber > 2367692 </ recipientCRDNumber >
  < associatedBDName > Commonwealth Financial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
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  < street1 > 5550 26th Street West, Suite 3 </ street1 >
  < city > Bradenton </ city >
  < stateOrCountry > FL </ stateOrCountry >
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  < zipCode > 34207 </ zipCode >
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  < description > FLORIDA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Jeffrey L. Davis </ recipientName >
  < recipientCRDNumber > 1344594 </ recipientCRDNumber >
  < associatedBDName > Michigan Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 101600 </ associatedBDCRDNumber >
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  < street1 > 166 South Kalamazoo Mall, Suite B </ street1 >
  < city > Kalamazoo </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 49007 </ zipCode >
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  < description > MICHIGAN </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Lyn F. Boening </ recipientName >
  < recipientCRDNumber > 2592999 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisor Networks LLC </ associatedBDName >
  < associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >
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  < street1 > 820 North 5th Street </ street1 >
  < city > Jacksonville </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97530 </ zipCode >
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  < description > OREGON </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > James D. Warring </ recipientName >
  < recipientCRDNumber > 3198200 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
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  < street1 > 11 North Washington Street, Suite 720 </ street1 >
  < city > Rockville </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 20850 </ zipCode >
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  < description > MARYLAND </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Bruce A. Carroll </ recipientName >
  < recipientCRDNumber > 1319858 </ recipientCRDNumber >
  < associatedBDName > Harbour Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 19258 </ associatedBDCRDNumber >
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  < street1 > 125 South Main Street, Suite 2 </ street1 >
  < city > Verona </ city >
  < stateOrCountry > WI </ stateOrCountry >
  < stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >
  < zipCode > 53593 </ zipCode >
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  < description > WISCONSIN </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Marco A. Scalco </ recipientName >
  < recipientCRDNumber > 5610626 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 3561 Howard Avenue, Suite 100 </ street1 >
  < city > Los Alamitos </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90720 </ zipCode >
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  < state > HI </ state >
  < description > HAWAII </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Philip J. Deangelo </ recipientName >
  < recipientCRDNumber > 4204841 </ recipientCRDNumber >
  < associatedBDName > Securities America, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >
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  < street1 > 216 State Route 299, Suite 5 </ street1 >
  < city > Highland </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 12528-2524 </ zipCode >
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  < description > NEW YORK </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Molly M. Grubb </ recipientName >
  < recipientCRDNumber > 5647291 </ recipientCRDNumber >
  < associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >
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  < street1 > 4656 Executive Drive, Suite 100 </ street1 >
  < city > Columbus </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 43220 </ zipCode >
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  < description > OHIO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Steve J. Aguiar </ recipientName >
  < recipientCRDNumber > 2335990 </ recipientCRDNumber >
  < associatedBDName > FSC Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >
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  < street1 > 2855 Mitchell Drive, Suite 203 </ street1 >
  < city > Walnut Creek </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94598 </ zipCode >
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  < description > TEXAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Kelly B. Yamamoto </ recipientName >
  < recipientCRDNumber > 4476560 </ recipientCRDNumber >
  < associatedBDName > FSC Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >
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  < street1 > 2855 Mitchell Drive, Suite 203 </ street1 >
  < city > Walnut Creek </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94598 </ zipCode >
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  < description > TEXAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Gerald J. Whyte </ recipientName >
  < recipientCRDNumber > 1330046 </ recipientCRDNumber >
  < associatedBDName > Crown Capital Securities, L.P. </ associatedBDName >
  < associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >
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  < street1 > 10370 Commerce Center Drive, Suite B130 </ street1 >
  < city > Rancho Cucamonga </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91730 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Matthew C. Weinheimer </ recipientName >
  < recipientCRDNumber > 2917501 </ recipientCRDNumber >
  < associatedBDName > Ameritas Investment Corp. </ associatedBDName >
  < associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >
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  < street1 > 4101 Parkstone Heights Drive, Suite 210 </ street1 >
  < city > Austin </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78746 </ zipCode >
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  < description > TEXAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Eric A. Bicknese </ recipientName >
  < recipientCRDNumber > 2829451 </ recipientCRDNumber >
  < associatedBDName > Nationwide Planning Associates Inc. </ associatedBDName >
  < associatedBDCRDNumber > 31029 </ associatedBDCRDNumber >
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  < street1 > 375 Route 32 </ street1 >
  < city > Central Valley </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10917 </ zipCode >
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  < description > FLORIDA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Ivar N. Jones, Jr. </ recipientName >
  < recipientCRDNumber > 2729076 </ recipientCRDNumber >
  < associatedBDName > Ameritas Investment Corp. </ associatedBDName >
  < associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >
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  < street1 > 847 Sansome Street, 4th Floor </ street1 >
  < city > San Francisco </ city >
  < stateOrCountry > CA </ stateOrCountry >
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  < zipCode > 94111 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Larry K. Manuel </ recipientName >
  < recipientCRDNumber > 1698280 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 4250 Executive Square, Suite 700 </ street1 >
  < city > La Jolla </ city >
  < stateOrCountry > CA </ stateOrCountry >
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  < zipCode > 92037 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < recipientName > Darrin W. Gustafson </ recipientName >
  < recipientCRDNumber > 3227510 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 4250 Executive Square, Suite 700 </ street1 >
  < city > La Jolla </ city >
  < stateOrCountry > CA </ stateOrCountry >
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  < zipCode > 92037 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > David M. Nelson </ recipientName >
  < recipientCRDNumber > 2120855 </ recipientCRDNumber >
  < associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >
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  < street1 > 880 13th Avenue North </ street1 >
  < city > Clinton </ city >
  < stateOrCountry > IA </ stateOrCountry >
  < stateOrCountryDescription > IOWA </ stateOrCountryDescription >
  < zipCode > 52732 </ zipCode >
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  < description > UTAH </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Kenneth M Nelson </ recipientName >
  < recipientCRDNumber > 3231051 </ recipientCRDNumber >
  < associatedBDName > Cambridge Investment Reserach, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >
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  < street1 > 880 13th Avenue North </ street1 >
  < city > Clinton </ city >
  < stateOrCountry > IA </ stateOrCountry >
  < stateOrCountryDescription > IOWA </ stateOrCountryDescription >
  < zipCode > 52732 </ zipCode >
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  < description > UTAH </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Jarrod F. Hirschfeld </ recipientName >
  < recipientCRDNumber > 4666092 </ recipientCRDNumber >
  < associatedBDName > Ameritas Investment Corp. </ associatedBDName >
  < associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >
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  < street1 > 3400 Executive Parkway </ street1 >
  < city > Toledo </ city >
  < stateOrCountry > OH </ stateOrCountry >
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  < zipCode > 43606 </ zipCode >
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  < description > OHIO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Karl R. Brantley </ recipientName >
  < recipientCRDNumber > 2274283 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 1600 Valley River Drive, Suite 150 </ street1 >
  < city > Eugene </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97401 </ zipCode >
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  < description > OREGON </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Gregg E. Kiefer </ recipientName >
  < recipientCRDNumber > 3230611 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 1675 Richmond Road </ street1 >
  < city > Staten Island </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10304-2317 </ zipCode >
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  < description > NEW YORK </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Matthew T. Rubis </ recipientName >
  < recipientCRDNumber > 5863109 </ recipientCRDNumber >
  < associatedBDName > Parkland Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >
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  < street1 > 1131 Westrac Drive, Suite 204 </ street1 >
  < city > Fargo </ city >
  < stateOrCountry > ND </ stateOrCountry >
  < stateOrCountryDescription > NORTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 58103 </ zipCode >
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  < description > NORTH DAKOTA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Daniel A. Prisciotta, Jr. </ recipientName >
  < recipientCRDNumber > 1190025 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 61 South Paramus Road, Suite 425 </ street1 >
  < city > Paramus </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07652 </ zipCode >
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  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Fred C. Scheller </ recipientName >
  < recipientCRDNumber > 1063971 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
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  < street1 > 12909 SW 68th Parkway, Suite 150 </ street1 >
  < city > Portland </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97223 </ zipCode >
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  < description > IDAHO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Ross A. Pedersen </ recipientName >
  < recipientCRDNumber > 1201067 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
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  < street1 > 2269 Dahlk Circle </ street1 >
  < city > Verona </ city >
  < stateOrCountry > WI </ stateOrCountry >
  < stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >
  < zipCode > 53593 </ zipCode >
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  < description > WISCONSIN </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Joseph G. Michaletz </ recipientName >
  < recipientCRDNumber > 1327534 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
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  < street1 > 150 St. Andrews Court, Suite 210 </ street1 >
  < city > Mankata </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 56001 </ zipCode >
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  < description > IOWA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Robert J. Binkele </ recipientName >
  < recipientCRDNumber > 2393598 </ recipientCRDNumber >
  < associatedBDName > J.P. Turner & Company, L.L.C. </ associatedBDName >
  < associatedBDCRDNumber > 43177 </ associatedBDCRDNumber >
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  < street1 > 45110 Club Drive, Suite B </ street1 >
  < city > Indian Wells </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92210 </ zipCode >
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  < description > TEXAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Gordon T. Hamilton </ recipientName >
  < recipientCRDNumber > 5028789 </ recipientCRDNumber >
  < associatedBDName > Parkland Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >
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  < street1 > 5875 Lehman Drive, Suite 201E </ street1 >
  < city > Colorado Springs </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80918 </ zipCode >
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  < description > COLORADO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Kevin P. Fitzgerald </ recipientName >
  < recipientCRDNumber > 1754938 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
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  < street1 > 268 East Hamilton Avenue, Suite E </ street1 >
  < city > Campbell </ city >
  < stateOrCountry > CA </ stateOrCountry >
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  < zipCode > 95008 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Stephen M. Whyte </ recipientName >
  < recipientCRDNumber > 5941423 </ recipientCRDNumber >
  < associatedBDName > Crown Capital Securities, L.P. </ associatedBDName >
  < associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10370 Commerce Center Drive, Suite B130 </ street1 >
  < city > Rancho Cucamonga </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91730 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mitchal D. O'Hare </ recipientName >
  < recipientCRDNumber > 4561108 </ recipientCRDNumber >
  < associatedBDName > Transamerica Financial Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 16164 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 515 South Howes Street </ street1 >
  < city > Fort Collins </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80521 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Sigrid D. Daugaard </ recipientName >
  < recipientCRDNumber > 5481583 </ recipientCRDNumber >
  < associatedBDName > Transamerica Financial Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 16164 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 515 South Howes Street </ street1 >
  < city > Fort Collins </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80521 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  < over100RecipientFlag > true </ over100RecipientFlag >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 59186571 </ totalOfferingAmount >
  < totalAmountSold > 41247618 </ totalAmountSold >
  < totalRemaining > 17938953 </ totalRemaining >
  < clarificationOfResponse />
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 118 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 2959329 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  </ findersFees >
  < clarificationOfResponse > This response is based on the assumption that the full amount of the potential sales commissions will be earned and paid. </ clarificationOfResponse >
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 4089510 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ grossProceedsUsed >
  < clarificationOfResponse />
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > Bi-Coastal Home Improvement DST </ issuerName >
  < signatureName > /s/ Keith Lampi </ signatureName >
  < nameOfSigner > Keith Lampi </ nameOfSigner >
  < signatureTitle > President of the Member of the Signatory Trustee </ signatureTitle >
  < signatureDate > 2015-09-17 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: Sep. 29, 2015
EFD Posted: Sep. 29, 2015