EFDID: 203890EFD: Raw Data

Issuer: National Multifamily Portfolio I DST (0001685331) - D/A

Accession: 0001685331-17-000001 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: Jan. 18, 2017
EFD Posted: Jan. 18, 2017
- < edgarSubmission >
  < schemaVersion > X0707 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001685331 </ cik >
  < entityName > National Multifamily Portfolio I DST </ entityName >
- < issuerAddress >
  < street1 > 2901 BUTTERFIELD ROAD </ street1 >
  < city > OAK BROOK </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ issuerAddress >
  < issuerPhoneNumber > 603-218-8000 </ 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 > 2016 </ 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 > I, L.L.C. </ firstName >
  < lastName > National Multifamily Portfolio . </ 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 > I Exchange, L.L.C. </ firstName >
  < lastName > National Multifamily Portfolio </ 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 National Multifamily Portfolio I Exchange, L.L.C., the Signatory Trustee of National Multifamily Portfolio I 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 > 0001685331-16-000008 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2016-09-26 </ 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 > 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 > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Matthew T. Adams </ recipientName >
  < recipientCRDNumber > 2354504 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 432 W. 11th Avenue </ street1 >
  < city > Eugene </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97401 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James T. Walesa </ recipientName >
  < recipientCRDNumber > 1061209 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 60068 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1460 Renaissance Dr., Suite #212 </ street1 >
  < city > Park Ridge </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60068 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mark G. Kosanke </ recipientName >
  < recipientCRDNumber > 2317906 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1120 E. Long Lake Road, Suite 250 </ street1 >
  < city > Troy </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 48085 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Lois A. Leynse </ recipientName >
  < recipientCRDNumber > 2949395 </ recipientCRDNumber >
  < associatedBDName > HD Vest Investment Services </ associatedBDName >
  < associatedBDCRDNumber > 13686 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 295 27th Street </ street1 >
  < city > Oakland </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94612 </ 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 > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert R. Tweed </ recipientName >
  < recipientCRDNumber > 2339324 </ recipientCRDNumber >
  < associatedBDName > Cabot Lodge Securities LLC </ associatedBDName >
  < associatedBDCRDNumber > 159712 </ 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 >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Inland Securites Corporation </ recipientName >
  < recipientCRDNumber > 15807 </ recipientCRDNumber >
  < associatedBDName > Inland Securites Corporation </ associatedBDName >
  < associatedBDCRDNumber > 15807 </ 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 > John V. Petraglia </ recipientName >
  < recipientCRDNumber > 2477770 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1938 Wading River Manor Road </ street1 >
  < city > Wading River </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11720 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael P. Black </ recipientName >
  < recipientCRDNumber > 1083275 </ recipientCRDNumber >
  < associatedBDName > Proequities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7520 E. 2nd Street, Suite #7 </ street1 >
  < city > Scottsdale </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85251 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David B. Levinson </ recipientName >
  < recipientCRDNumber > 705929 </ recipientCRDNumber >
  < associatedBDName > Westpark Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 18872 MacArthur Blvd., 1st Floor </ street1 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92612 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey A. Kiesnoski </ recipientName >
  < recipientCRDNumber > 2688017 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 417 East Main Street, 3rd Floor </ street1 >
  < city > Port Jefferson </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11777 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ 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 Montomery 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 > Bradford J. Pinter </ recipientName >
  < recipientCRDNumber > 2234259 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 125 Ottawa Avenue, Suite 357 </ street1 >
  < city > Grand Rapids </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 49503 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James M. Gambaccini </ recipientName >
  < recipientCRDNumber > 4619759 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1875 Campus Commons Drive, Suite 100 </ street1 >
  < city > Reston </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 20191 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Richard J. Zaegal </ recipientName >
  < recipientCRDNumber > 851991 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors LLC </ associatedBDName >
  < associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1229 South Laclede Station Road </ street1 >
  < city > Webster Groves </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 63119 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Eric A, Bicknese </ recipientName >
  < recipientCRDNumber > 2829451 </ recipientCRDNumber >
  < associatedBDName > Nationwide Planning Associates Inc. </ associatedBDName >
  < associatedBDCRDNumber > 31029 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 375 Route 32, Central Valley </ street1 >
  < city > New York </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10917 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael S. Cullen </ recipientName >
  < recipientCRDNumber > 1222982 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 90 New Montgomery, Suite 120 </ street1 >
  < city > San Francisco </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94105 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert C. Straton </ recipientName >
  < recipientCRDNumber > 3213397 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 82125 SW Tualatin-Sherwood Road </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Tualatin </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97062 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas J. Ealy </ recipientName >
  < recipientCRDNumber > 863042 </ recipientCRDNumber >
  < associatedBDName > Investment Planners, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2911 Crossing Court #102 </ street1 >
  < city > Champaign </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 61822 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey B. Baker </ recipientName >
  < recipientCRDNumber > 2102752 </ recipientCRDNumber >
  < associatedBDName > Vanderbilt Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 5953 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12 E. Water Street </ street1 >
  < city > Newburgh </ city >
  < stateOrCountry > IN </ stateOrCountry >
  < stateOrCountryDescription > INDIANA </ stateOrCountryDescription >
  < zipCode > 47629 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IN </ state >
  < description > INDIANA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Donovan C. Cheek </ recipientName >
  < recipientCRDNumber > 841809 </ recipientCRDNumber >
  < associatedBDName > IMS Securites, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10205 Westheimer, Suite 500 </ street1 >
  < city > Houston </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 77042 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kenneth H. Williams </ recipientName >
  < recipientCRDNumber > 867975 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors LLC </ associatedBDName >
  < associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 30200 Rancho Viejo Road, Suite G </ street1 >
  < city > San Juan Capistrano </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92675 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Daryl C. Debol </ recipientName >
  < recipientCRDNumber > 2238703 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 35 S. Duval Road </ street1 >
  < city > Groose Pointe Shores </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 48236 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > HI </ state >
  < description > HAWAII </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Grant A. Knox </ recipientName >
  < recipientCRDNumber > 229618 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9120 Spice Street </ street1 >
  < city > La Mesa </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91941 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeanne E. Morelli </ recipientName >
  < recipientCRDNumber > 4706430 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1000 First Federal Plaza </ street1 >
  < city > Rochester </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14614 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeanne Y. Duce </ recipientName >
  < recipientCRDNumber > 4580520 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3140 De La Cruz Blvd, Suite 200 </ street1 >
  < city > Santa Clara </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95054 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > John H. Scully </ recipientName >
  < recipientCRDNumber > 803539 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
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  < street1 > 450 Skokie Blvd., Suite #301 </ street1 >
  < city > Northbrook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60062 </ zipCode >
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  < state > CO </ state >
  < description > COLORADO </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Enoch Chung </ recipientName >
  < recipientCRDNumber > 2986969 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
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  < street1 > 1370 Valley Vista Drive, Suite 221 </ street1 >
  < city > Diamond Bar </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91765 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Jan I. Zenner </ recipientName >
  < recipientCRDNumber > 846577 </ recipientCRDNumber >
  < associatedBDName > Mcnally Financial Services Corporation </ associatedBDName >
  < associatedBDCRDNumber > 121196 </ associatedBDCRDNumber >
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  < street1 > 16414 San Pedro, Suite 930 </ street1 >
  < city > San Antonio </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78232 </ zipCode >
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  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Joseph G. Michaletz </ recipientName >
  < recipientCRDNumber > 1327534 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
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  < street1 > 150 St. Andrews Ct., Suite 210 </ street1 >
  < city > Mankato </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 56001 </ zipCode >
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  < state > KS </ state >
  < description > KANSAS </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Kent A. Cooper </ recipientName >
  < recipientCRDNumber > 2678690 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
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  < street1 > 490 Alabama Street, Suite #101 </ street1 >
  < city > Redlands </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92373 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Clifton M. Yasutomi </ recipientName >
  < recipientCRDNumber > 5081023 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 500 Ala Moana Blvd., Suite 3-480, </ street1 >
  < street2 > Box 208 </ street2 >
  < city > Honolulu </ city >
  < stateOrCountry > HI </ stateOrCountry >
  < stateOrCountryDescription > HAWAII </ stateOrCountryDescription >
  < zipCode > 96813 </ zipCode >
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  < state > HI </ state >
  < description > HAWAII </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Marilyn A. Schmitt </ recipientName >
  < recipientCRDNumber > 4340290 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10260 Westheimer Road, Suite 210 </ street1 >
  < city > Houston </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 77042 </ zipCode >
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  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > James E. Fereday </ recipientName >
  < recipientCRDNumber > 3019113 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10260 Westheimer Road, Suite 210 </ street1 >
  < city > Houston </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 77042 </ zipCode >
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  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Neel J. Keiser </ recipientName >
  < recipientCRDNumber > 5747638 </ recipientCRDNumber >
  < associatedBDName > Securities America, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >
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  < street1 > 401 N. Smith Ave </ street1 >
  < city > Kenesaw </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68959 </ zipCode >
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  < state > NE </ state >
  < description > NEBRASKA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Ryan P. Sullivan </ recipientName >
  < recipientCRDNumber > 5025068 </ recipientCRDNumber >
  < associatedBDName > Securities America, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 401 N. Smith Ave </ street1 >
  < city > Kenesaw </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68959 </ zipCode >
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  < state > NE </ state >
  < description > NEBRASKA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Mark R. Swartz </ recipientName >
  < recipientCRDNumber > 2311460 </ recipientCRDNumber >
  < associatedBDName > Securites America, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >
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  < street1 > 2400 Camino Ramon, Suite 380 </ street1 >
  < city > San Ramon </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94583 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Arnold T. Beck Jr. </ recipientName >
  < recipientCRDNumber > 727381 </ recipientCRDNumber >
  < associatedBDName > Securites America, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 400 Plaza Drive, Suite 100 </ street1 >
  < city > Folsom </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95630 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Edward P. Deicke </ recipientName >
  < recipientCRDNumber > 1944593 </ recipientCRDNumber >
  < associatedBDName > National Securites Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7569 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 255 Executive Drive, Suite 305 </ street1 >
  < city > Plainview </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11803 </ zipCode >
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  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Nathaniel M. Kuhn </ recipientName >
  < recipientCRDNumber > 4624143 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 120 W. Eastman, Suite 300 </ street1 >
  < city > Arlington Heights </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60004 </ zipCode >
  </ recipientAddress >
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  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Stanley B. Secor </ recipientName >
  < recipientCRDNumber > 1982414 </ recipientCRDNumber >
  < associatedBDName > Girard Securites, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18697 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 261 East Broadway, Suite 110 </ street1 >
  < city > Salt Lake City </ city >
  < stateOrCountry > UT </ stateOrCountry >
  < stateOrCountryDescription > UTAH </ stateOrCountryDescription >
  < zipCode > 84111 </ zipCode >
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  < state > UT </ state >
  < description > UTAH </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Peter Maniscalco </ recipientName >
  < recipientCRDNumber > 4435025 </ recipientCRDNumber >
  < associatedBDName > HD Vest Investment Services </ associatedBDName >
  < associatedBDCRDNumber > 13686 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2493 Richmond Road </ street1 >
  < city > Staten Island </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10306 </ zipCode >
  </ recipientAddress >
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  < state > NJ </ state >
  < description > NEW JERSEY </ 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 3 </ street1 >
  < city > Cameron Park </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95682 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Joseph J. Reynolds </ recipientName >
  < recipientCRDNumber > 1003497 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
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  < street1 > 429 Phelps Avenue, Suite# 709 </ street1 >
  < city > Rockford </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 61108 </ zipCode >
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  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Mark L. Lopez </ recipientName >
  < recipientCRDNumber > 1128966 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2620 Connery Way </ street1 >
  < city > Missoula </ city >
  < stateOrCountry > MT </ stateOrCountry >
  < stateOrCountryDescription > MONTANA </ stateOrCountryDescription >
  < zipCode > 59840 </ zipCode >
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  < state > MT </ state >
  < description > MONTANA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Robert A. Horning </ recipientName >
  < recipientCRDNumber > 2311640 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6633 S. Halm Avenue </ street1 >
  < city > Los Angeles </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 90056 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Adam J. Bryan </ recipientName >
  < recipientCRDNumber > 5443986 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
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  < street1 > 6633 S. Halm Avenue </ street1 >
  < city > Los Angeles </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90056 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Robert H. Chapman </ recipientName >
  < recipientCRDNumber > 4011294 </ recipientCRDNumber >
  < associatedBDName > Cetera Financial Specialists LLC </ associatedBDName >
  < associatedBDCRDNumber > 10358 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1163 Pittsford-Victor Road, Suite 130 </ street1 >
  < city > New York </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14534 </ zipCode >
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  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Jeffery S. Powell </ recipientName >
  < recipientCRDNumber > 3181500 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 105 Two Island Court, Suite 201 </ street1 >
  < city > Mount Pleasant </ city >
  < stateOrCountry > SC </ stateOrCountry >
  < stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 29466 </ zipCode >
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  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Corbin S. Thomas </ recipientName >
  < recipientCRDNumber > 4234748 </ recipientCRDNumber >
  < associatedBDName > McDermott Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 101 Main Street, Suite 260 </ street1 >
  < city > Huntington Beach </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92648 </ zipCode >
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  < state > OH </ state >
  < description > OHIO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael C. Eldredge </ recipientName >
  < recipientCRDNumber > 3082042 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 2005 West Elm Street </ street1 >
  < city > Rogers </ city >
  < stateOrCountry > AR </ stateOrCountry >
  < stateOrCountryDescription > ARKANSAS </ stateOrCountryDescription >
  < zipCode > 72758 </ zipCode >
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  < state > AR </ state >
  < description > ARKANSAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Cara M. Miller </ recipientName >
  < recipientCRDNumber > 4521819 </ recipientCRDNumber >
  < associatedBDName > Proequities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 909 St. Joseph Street, Suite 101 </ street1 >
  < city > Rapid City </ city >
  < stateOrCountry > SD </ stateOrCountry >
  < stateOrCountryDescription > SOUTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 57701 </ zipCode >
  </ recipientAddress >
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  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Roger W. Vanpelt </ recipientName >
  < recipientCRDNumber > 1742560 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors LLC </ associatedBDName >
  < associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6055 A Kellers Church Road </ street1 >
  < city > Pipersville </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 18947 </ zipCode >
  </ recipientAddress >
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  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Gary E. Conley </ recipientName >
  < recipientCRDNumber > 52159 </ recipientCRDNumber >
  < associatedBDName > American Investors Company </ associatedBDName >
  < associatedBDCRDNumber > 38 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1600 Valley River Drive, Suite 385 </ street1 >
  < city > Eugene </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97401 </ zipCode >
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  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Spencer L. Weston </ recipientName >
  < recipientCRDNumber > 1482772 </ recipientCRDNumber >
  < associatedBDName > Questar Capital Corporation </ associatedBDName >
  < associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >
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  < street1 > 3420 Coach Lane, Suite 3 </ 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 > Scott P. Inabnet </ recipientName >
  < recipientCRDNumber > 4603481 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 8490 E. Crescent Pkwy, Suite 380 </ street1 >
  < city > Englewood </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80111 </ zipCode >
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  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Davin J. Carey </ recipientName >
  < recipientCRDNumber > 5413012 </ recipientCRDNumber >
  < associatedBDName > HD Vest Investment Services </ associatedBDName >
  < associatedBDCRDNumber > 13686 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1000 Town Center Drive, Suite 200 </ street1 >
  < city > Oxnard </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 93036 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > William S. Sheehan </ recipientName >
  < recipientCRDNumber > 2328614 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc, </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2 Orr Hatch Drive </ street1 >
  < city > Conrwall </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 12518 </ zipCode >
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  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Joseph E. Budd </ recipientName >
  < recipientCRDNumber > 2369116 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3870 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 23123 State Roa, 7 Suite 200-B </ street1 >
  < city > Boca Raton </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33428 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Jeffrey W. Gustafson </ recipientName >
  < recipientCRDNumber > 5653082 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2105 S. Bascom Avenue, Suite 300 </ street1 >
  < city > Campbell </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95008 </ zipCode >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Duncan Eng </ recipientName >
  < recipientCRDNumber > 2536048 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 2105 S. Bascom Avenue, Suite 300 </ street1 >
  < city > Campbell </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95008 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Jitender C. Gidwani </ recipientName >
  < recipientCRDNumber > 4394316 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
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  < street1 > 33 Wood Ave South #610 </ street1 >
  < city > Iselin </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08830 </ zipCode >
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  < description > NEW YORK </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Bill K. Huie </ recipientName >
  < recipientCRDNumber > 2522644 </ recipientCRDNumber >
  < associatedBDName > HD Vest Investment Services </ associatedBDName >
  < associatedBDCRDNumber > 13686 </ associatedBDCRDNumber >
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  < street1 > 1350 Broadway Suite 705 </ street1 >
  < city > New York </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10018 </ zipCode >
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  < description > NEW YORK </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Edwin T. Suzuki </ recipientName >
  < recipientCRDNumber > 4851317 </ recipientCRDNumber >
  < associatedBDName > Westpark Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >
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  < street1 > 18872 MacArthur Blvd., 1st Floor </ street1 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92612 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Richard A. Skelton Jr. </ recipientName >
  < recipientCRDNumber > 4782331 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
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  < street1 > 3030 Old Ranch Parkwary, Suite 160 </ street1 >
  < city > Seal Beach </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 90740 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Martin D. Fong </ recipientName >
  < recipientCRDNumber > 2679644 </ recipientCRDNumber >
  < associatedBDName > Lincoln Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 3000 Executive Parkway Suites </ street1 >
  < street2 > 700 & 500 </ street2 >
  < city > San Ramon </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94583 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > John G. Chess </ recipientName >
  < recipientCRDNumber > 4812430 </ recipientCRDNumber >
  < associatedBDName > Investcorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
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  < street1 > 4263 Gavin Lane </ street1 >
  < city > Columbus </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 43220 </ zipCode >
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  < state > AR </ state >
  < description > ARKANSAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Maxwell J. Phillips </ recipientName >
  < recipientCRDNumber > 4953387 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
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  < street1 > 3700 State Street, Suite 310 </ street1 >
  < city > Santa Barbara </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 93105 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Todd A. Arner </ recipientName >
  < recipientCRDNumber > 42276 </ recipientCRDNumber >
  < associatedBDName > Voya Financial Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 2882 </ associatedBDCRDNumber >
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  < street1 > 4600 Fashion Square Blvd., Suite 110 </ street1 >
  < city > Saginaw </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 48604 </ zipCode >
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  < description > MICHIGAN </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Peter A. Finnegan </ recipientName >
  < recipientCRDNumber > 1339798 </ recipientCRDNumber >
  < associatedBDName > Huntwicke Securites, LLC </ associatedBDName >
  < associatedBDCRDNumber > 146993 </ associatedBDCRDNumber >
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  < street1 > 65 Washigton Street </ street1 >
  < city > Hanover </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 02339 </ zipCode >
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  < state > NH </ state >
  < description > NEW HAMPSHIRE </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Jerome L. Schmitt </ recipientName >
  < recipientCRDNumber > 5032170 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 18400 Von Karman Avenue, Suite 400 </ street1 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92612 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Glen E. Kauffman </ recipientName >
  < recipientCRDNumber > 1364121 </ recipientCRDNumber >
  < associatedBDName > Proequities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >
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  < street1 > 841 Mt. Clinton Pike, Suite A </ street1 >
  < city > Harrisonburg </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22802 </ zipCode >
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  < description > VIRGINIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Gene A. Brehm </ recipientName >
  < recipientCRDNumber > 2815437 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 7809 Broadway Street </ street1 >
  < city > San Antonio </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78209 </ zipCode >
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  < state > TX </ state >
  < description > TEXAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Dale Rubin </ recipientName >
  < recipientCRDNumber > 1304312 </ recipientCRDNumber >
  < associatedBDName > Lincoln Investment </ associatedBDName >
  < associatedBDCRDNumber > 519 </ associatedBDCRDNumber >
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  < street1 > 25800 Science Park Drive, Suite 100 </ street1 >
  < city > Celeveland </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 44122 </ zipCode >
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  < description > OHIO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Samuel V. Ortiz Jr. </ recipientName >
  < recipientCRDNumber > 3002229 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 940 South Coast Drive, Suite 178 </ street1 >
  < city > Costa Mesa </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92626 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Paul J. Zalduendo </ recipientName >
  < recipientCRDNumber > 5152603 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
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  < street1 > 1801 S. Meyers Rd., Suite 150 </ street1 >
  < city > Oak Brook Terrance </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60181 </ zipCode >
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  < description > ILLINOIS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Pablo R. Zalduendo </ recipientName >
  < recipientCRDNumber > 1196913 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Serives. Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
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  < street1 > 1801 S. Meyers Rd., Suite 150 </ street1 >
  < city > Oak Brook Terrance </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60181 </ zipCode >
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  < description > ILLINOIS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Ronald L. Knipping </ recipientName >
  < recipientCRDNumber > 249084 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
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  < street1 > 2330 East Paris Avenue </ street1 >
  < city > Grand Rapids </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 49546 </ zipCode >
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  < description > MICHIGAN </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > William F. Kootnz II </ recipientName >
  < recipientCRDNumber > 1951390 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advsiors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 4030 Smith Road, Suite 400 </ street1 >
  < city > Cincinnati </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 45209 </ zipCode >
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  < description > OHIO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Cornelius George McAuliffe III </ recipientName >
  < recipientCRDNumber > 1787693 </ recipientCRDNumber >
  < associatedBDName > Crown Capital Securites, L.P. </ associatedBDName >
  < associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >
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  < street1 > 2660 Townsgate Road, Suite 310 </ street1 >
  < city > Westlake Village </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91361 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Marlyn Marie Jenvey Baker </ recipientName >
  < recipientCRDNumber > 1142450 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors Networks LLC </ associatedBDName >
  < associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >
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  < street1 > 3100 Zinfandel Drive, Suite 280 </ street1 >
  < city > Rancho Cordova </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95670 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Blayne A. Anderson </ recipientName >
  < recipientCRDNumber > 5727397 </ recipientCRDNumber >
  < associatedBDName > Parkland Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >
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  < street1 > 810 Pancheri Drive </ street1 >
  < city > Idaho Falls </ city >
  < stateOrCountry > ID </ stateOrCountry >
  < stateOrCountryDescription > IDAHO </ stateOrCountryDescription >
  < zipCode > 83402 </ zipCode >
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  < description > COLORADO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Robert P. Milligan </ recipientName >
  < recipientCRDNumber > 4004228 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors LLC </ associatedBDName >
  < associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >
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  < street1 > 518 Elm Drive </ street1 >
  < city > Plainfield </ city >
  < stateOrCountry > IN </ stateOrCountry >
  < stateOrCountryDescription > INDIANA </ stateOrCountryDescription >
  < zipCode > 46188 </ zipCode >
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  < description > INDIANA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Barry W. Lemay </ recipientName >
  < recipientCRDNumber > 306332 </ recipientCRDNumber >
  < associatedBDName > Concorde Inverstment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
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  < street1 > 901 Campisi Way, Suite 200 </ street1 >
  < city > Campbell </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95008 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > William J. Bugdon </ recipientName >
  < recipientCRDNumber > 5720121 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
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  < street1 > Centaral Park East </ street1 >
  < street2 > 222 New Road, Suite 505 </ street2 >
  < city > Linwood </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08221 </ zipCode >
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  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Josephine E. Buck </ recipientName >
  < recipientCRDNumber > 2887883 </ recipientCRDNumber >
  < associatedBDName > Girad Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18697 </ associatedBDCRDNumber >
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  < street1 > 5655 South Yosemite Street, Suite 450 </ street1 >
  < city > Greenwood Village </ city >
  < stateOrCountry > CT </ stateOrCountry >
  < stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >
  < zipCode > 80111 </ zipCode >
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  < state > GA </ state >
  < description > GEORGIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Randall L. Kaup </ recipientName >
  < recipientCRDNumber > 5173095 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 815 West Main Street </ street1 >
  < city > Coldwater </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 45828 </ zipCode >
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  < description > OHIO </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Peter J. Mc Neil </ recipientName >
  < recipientCRDNumber > 4375867 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
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  < street1 > 848 Manhattan Beach Blvd. </ street1 >
  < city > Manhattan Beach </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90266 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Daniel L. Whittenburg </ recipientName >
  < recipientCRDNumber > 2181920 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
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  < street1 > 111 South Main, Suite 310 </ street1 >
  < city > Salt Lake City </ city >
  < stateOrCountry > UT </ stateOrCountry >
  < stateOrCountryDescription > UTAH </ stateOrCountryDescription >
  < zipCode > 84111 </ zipCode >
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  < description > UTAH </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Robert J. Rounsfull </ recipientName >
  < recipientCRDNumber > 5261739 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 2640 Patriot Blvd., Suite 200 </ street1 >
  < city > Glenview </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60026 </ zipCode >
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  < description > ILLINOIS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > James L. Flanagan </ recipientName >
  < recipientCRDNumber > 1812317 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
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  < street1 > 1833 Center Point Circle, Suite 135 </ street1 >
  < city > Naperville </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60563 </ zipCode >
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  < description > ILLINOIS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > William D. Vellon </ recipientName >
  < recipientCRDNumber > 1954258 </ recipientCRDNumber >
  < associatedBDName > Kingsbury Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7638 </ associatedBDCRDNumber >
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  < street1 > 1560 Sherman Ave., Suite 510 </ street1 >
  < city > Evanston </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60201 </ zipCode >
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  < description > ILLINOIS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Kathleen C. Kovar </ recipientName >
  < recipientCRDNumber > 466755 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
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  < street1 > 3800 Blackhawk Road, Suite 100 </ street1 >
  < city > Danville </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94506 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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  < recipientName > Jeffrey C. Young </ recipientName >
  < recipientCRDNumber > 1111994 </ recipientCRDNumber >
  < associatedBDName > First Financial Equity Corporation </ associatedBDName >
  < associatedBDCRDNumber > 16507 </ associatedBDCRDNumber >
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  < street1 > 7373 N. Scottsdale Rd. D120 </ street1 >
  < city > Scottsdale </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85253 </ zipCode >
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  < description > CALIFORNIA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Robert S. MacPhee </ recipientName >
  < recipientCRDNumber > 1335737 </ recipientCRDNumber >
  < associatedBDName > Tritower Real Estate Capital, LLC </ associatedBDName >
  < associatedBDCRDNumber > 281740 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 60 State Street, Suite 2250 </ street1 >
  < city > Boston </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 02109 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Shawn L. Valentine </ recipientName >
  < recipientCRDNumber > 4632973 </ recipientCRDNumber >
  < associatedBDName > Calton & Assocaties, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1049 Washington Avenue </ street1 >
  < city > Washignton Court House </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 43160 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OH </ state >
  < description > OHIO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Eric L. Gottlieb </ recipientName >
  < recipientCRDNumber > 2197123 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 55 N. Third Street, Suite 200 </ street1 >
  < city > Campbell </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95008 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert A. Ebert Jr. </ recipientName >
  < recipientCRDNumber > 834299 </ recipientCRDNumber >
  < associatedBDName > FSC Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2000 East Fourth Street, Suite 230 </ street1 >
  < city > Santa Ana </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92705 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Orest P. Baransky </ recipientName >
  < recipientCRDNumber > 2808117 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 194-02 Northern Blvd., Suite LL2 </ street1 >
  < city > Flushing </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11358 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  < over100RecipientFlag > true </ over100RecipientFlag >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 120096882 </ totalOfferingAmount >
  < totalAmountSold > 60911577 </ totalAmountSold >
  < totalRemaining > 59185305 </ totalRemaining >
  < clarificationOfResponse />
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 152 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 6004844 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  </ findersFees >
  < clarificationOfResponse />
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 8917212 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ grossProceedsUsed >
  < clarificationOfResponse />
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > National Multifamily Portfolio I DST </ issuerName >
  < signatureName > /s/ Keith Lampi </ signatureName >
  < nameOfSigner > Keith Lampi </ nameOfSigner >
  < signatureTitle > President of the Memeber of the Signatory Trustee </ signatureTitle >
  < signatureDate > 2017-01-18 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: Jan. 18, 2017
EFD Posted: Jan. 18, 2017