EFDID: 234884EFD: Raw Data

Issuer: Healthcare Portfolio II DST (0001701369) - D/A

Accession: 0001701369-17-000008 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: May. 23, 2017
EFD Posted: May. 23, 2017
- < edgarSubmission >
  < schemaVersion > X0707 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001701369 </ cik >
  < entityName > Healthcare Portfolio II 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 > 2016 </ value >
  </ yearOfInc >
  </ primaryIssuer >
- < relatedPersonsList >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Capital Corporation </ firstName >
  < lastName > Inland Private </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901Butterfield 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 > II, L.L.C. </ firstName >
  < lastName > Healthcare 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 > Exchange, L.L.C. </ firstName >
  < lastName > Healthcare Portfolio II </ 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 Healthcare Portfolio II Exchange, L.L.C., the Signatory Trustee of Healthcare Portfolio II 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 > 0001701369-17-000006 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2017-03-09 </ 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 > 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 >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Silver Portal Capital LLC </ recipientName >
  < recipientCRDNumber > 114290 </ 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 > MN </ state >
  < description > MINNESOTA </ description >
  < state > WA </ state >
  < description > WASHINGTON </ 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 Franciso </ 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 > 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 > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James P. Cunningham </ recipientName >
  < recipientCRDNumber > 3038854 </ recipientCRDNumber >
  < associatedBDName > Commonwealth Financial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 817 Ninth Street </ street1 >
  < city > Rapid City </ city >
  < stateOrCountry > SD </ stateOrCountry >
  < stateOrCountryDescription > SOUTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 57701 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gregory T. Shields </ recipientName >
  < recipientCRDNumber > 3115350 </ recipientCRDNumber >
  < associatedBDName > Commonwealth Financial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8888 Keystone Crossing, Suite 960 </ street1 >
  < city > Indianapolis </ city >
  < stateOrCountry > IN </ stateOrCountry >
  < stateOrCountryDescription > INDIANA </ stateOrCountryDescription >
  < zipCode > 46240 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IN </ state >
  < description > INDIANA </ 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 >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey F. Hatfield </ recipientName >
  < recipientCRDNumber > 1984720 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1370 Valley Vista Drive, Suite 221 </ street1 >
  < city > Diamond Bar </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91765 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kenneth C. Carrico </ recipientName >
  < recipientCRDNumber > 1021435 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 229 South Main Street </ street1 >
  < city > Waterloo </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 62298 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William A. Morrow </ recipientName >
  < recipientCRDNumber > 836500 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5075 Shoreham Place, Suite 200 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92122 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Timothy L. Stauffer </ recipientName >
  < recipientCRDNumber > 4178198 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 333 Fiddlers Cove </ street1 >
  < city > Fort Wayne </ city >
  < stateOrCountry > IN </ stateOrCountry >
  < stateOrCountryDescription > INDIANA </ stateOrCountryDescription >
  < zipCode > 46825 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IN </ state >
  < description > INDIANA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael J D'Epagnier </ recipientName >
  < recipientCRDNumber > 2067061 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 193 S. 27th Avenue, Suite 300 </ street1 >
  < city > Brighton </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80601 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Daniel P. Raupp </ recipientName >
  < recipientCRDNumber > 4079107 </ 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 > Kurt W. Whitesell </ recipientName >
  < recipientCRDNumber > 1675434 </ recipientCRDNumber >
  < associatedBDName > Commonwealth Financial Network </ associatedBDName >
  < associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 817 Ninth Street </ street1 >
  < city > Rapid City </ city >
  < stateOrCountry > SD </ stateOrCountry >
  < stateOrCountryDescription > SOUTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 57701 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Peter A. Finnegan </ recipientName >
  < recipientCRDNumber > 1336798 </ recipientCRDNumber >
  < associatedBDName > Huntwicke Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 146993 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 65 Washington Street </ street1 >
  < city > Hanover </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 02339 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Preston P. Mokris </ recipientName >
  < recipientCRDNumber > 5179201 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 633 Georgetown Road </ street1 >
  < city > Raleigh </ city >
  < stateOrCountry > NC </ stateOrCountry >
  < stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 27608 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ 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 > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey J. Arburn </ recipientName >
  < recipientCRDNumber > 1475817 </ recipientCRDNumber >
  < associatedBDName > Whitehall-Parker Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 10608 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 880 East Campbell Avenue, Suite #206 </ 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 > Dieter G. Bollman </ recipientName >
  < recipientCRDNumber > 4247975 </ recipientCRDNumber >
  < associatedBDName > First Financial Equity Corporation </ associatedBDName >
  < associatedBDCRDNumber > 16507 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7373 N. Scottsdale Road., D120 </ street1 >
  < city > Scottsdale </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85253 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Daniel J. Mercer </ recipientName >
  < recipientCRDNumber > 6698392 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4020 East Saint Joseph Way </ street1 >
  < city > Phoenix </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85018 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Manuel Ramos </ recipientName >
  < recipientCRDNumber > 1956224 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8141 E. 2nd Street, Suite #608-A </ street1 >
  < city > Downey </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90214 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kyle H. Imholte </ recipientName >
  < recipientCRDNumber > 5448950 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1215 Washington Avenue S </ street1 >
  < city > Detriot Lakes </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 56502 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ 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 W. Foothill Blvd. </ 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 > Jason A. Salmon </ recipientName >
  < recipientCRDNumber > 6081963 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 104 West 40th St., 5th Floor </ street1 >
  < city > New York </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10018 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Ronald L. Gay </ recipientName >
  < recipientCRDNumber > 5647263 </ recipientCRDNumber >
  < associatedBDName > IMS Sercurites, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 35567 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1825 Brothers Blvd. </ street1 >
  < city > College Station </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 77845 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Roger B. Deal </ recipientName >
  < recipientCRDNumber > 2263476 </ recipientCRDNumber >
  < associatedBDName > Geneos Wealth Management, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 120894 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3154 18th Ave., Suite 7 </ street1 >
  < city > Columbus </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68601 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James L. Duchene Jr. </ recipientName >
  < recipientCRDNumber > 4655062 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4900 N. Scottsdale Road, Suite 3700 </ 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 > Jonathan R. Creighton </ recipientName >
  < recipientCRDNumber > 1495897 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 350 Lincoln Street, Suite 2400 </ street1 >
  < city > Hingham </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 02043 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Dennis F. Baker </ recipientName >
  < recipientCRDNumber > 2180472 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 351 Prairie Heights Drive </ street1 >
  < city > Verona </ city >
  < stateOrCountry > WI </ stateOrCountry >
  < stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >
  < zipCode > 53593 </ zipCode >
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  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Craig R. Sicker </ recipientName >
  < recipientCRDNumber > 4222992 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2215 Route 9W </ street1 >
  < city > Lake Katrine </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 12449 </ zipCode >
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  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Michele E. Tremblay </ recipientName >
  < recipientCRDNumber > 4438927 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2011 West Padonia Road, Suite 600 </ street1 >
  < city > Timonium </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 21093 </ zipCode >
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- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Elizabeth L. Friant </ recipientName >
  < recipientCRDNumber > 2122446 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1101 Pennsylvania Avenue, NW, Suite 300 </ street1 >
  < city > Washington </ city >
  < stateOrCountry > DC </ stateOrCountry >
  < stateOrCountryDescription > DISTRICT OF COLUMBIA </ stateOrCountryDescription >
  < zipCode > 20004 </ zipCode >
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  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Steven S. Meahan </ recipientName >
  < recipientCRDNumber > 1234042 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3039 Woodside Meadow </ street1 >
  < city > Pleasant Hill </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 27609 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Jason Steele </ recipientName >
  < recipientCRDNumber > 2674860 </ recipientCRDNumber >
  < associatedBDName > Prospera Financial Services, Inc, </ associatedBDName >
  < associatedBDCRDNumber > 10740 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4700 Falls of Neuse Rd., Suite 440 </ street1 >
  < city > Raleigh </ city >
  < stateOrCountry > NC </ stateOrCountry >
  < stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 27609 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Armando G. Roman </ recipientName >
  < recipientCRDNumber > 4414526 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7373 E. Doubletree Ranch Road, </ street1 >
  < street2 > Suite 170 </ street2 >
  < city > Scottsdale </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85258 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Leon H. Levinson </ recipientName >
  < recipientCRDNumber > 1251194 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3870 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4848 Loop Central Drive, Suite 1005 </ street1 >
  < city > Houston </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 77081 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < 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 >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael D. Puls </ recipientName >
  < recipientCRDNumber > 2671882 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7431 O Street </ street1 >
  < city > Lincoln </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68510 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NE </ state >
  < description > NEBRASKA </ 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 > CA </ state >
  < description > CALIFORNIA </ description >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Paul B. Abbou </ recipientName >
  < recipientCRDNumber > 4234153 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 333 John Carlyle Street, Suite 620 </ street1 >
  < city > Alexandria </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22314 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jason P. Connolly </ recipientName >
  < recipientCRDNumber > 4708924 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1764 The Alameda </ street1 >
  < city > San Jose </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95126 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Darren P. Speight </ recipientName >
  < recipientCRDNumber > 5347461 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1764 The Alameda </ street1 >
  < city > San Jose </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95126 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kirk D. Dobson </ recipientName >
  < recipientCRDNumber > 4049865 </ recipientCRDNumber >
  < associatedBDName > Amertias Investment Corp. </ associatedBDName >
  < associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3150 Crow Canyon Place, #200 </ street1 >
  < city > San Ramon </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94583 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David K. Hays </ recipientName >
  < recipientCRDNumber > 2434893 </ recipientCRDNumber >
  < associatedBDName > J.W. Cole Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 124583 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 674 S. Collega Ave. </ street1 >
  < city > Bloomington </ city >
  < stateOrCountry > IN </ stateOrCountry >
  < stateOrCountryDescription > INDIANA </ stateOrCountryDescription >
  < zipCode > 47403 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IN </ state >
  < description > INDIANA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Karl L. Hambrecht </ recipientName >
  < recipientCRDNumber > 844047 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 139 Indian Hill St. </ street1 >
  < city > West Newbury </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 01985 </ zipCode >
  </ recipientAddress >
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  < state > MA </ state >
  < description > MASSACHUSETTS </ 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 > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David L. Cowguill </ recipientName >
  < recipientCRDNumber > 1275601 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4255 Rec Drive </ street1 >
  < city > Marion </ city >
  < stateOrCountry > IA </ stateOrCountry >
  < stateOrCountryDescription > IOWA </ stateOrCountryDescription >
  < zipCode > 52302 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IA </ state >
  < description > IOWA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Susan J. Gitt </ recipientName >
  < recipientCRDNumber > 5580509 </ recipientCRDNumber >
  < associatedBDName > Great Point Capital LLC </ associatedBDName >
  < associatedBDCRDNumber > 114203 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 West Jackson Blvd., Suite 1000 </ street1 >
  < city > Chicago </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60606 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > MT </ state >
  < description > MONTANA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Curits S. Kreitzberg </ recipientName >
  < recipientCRDNumber > 2772736 </ recipientCRDNumber >
  < associatedBDName > Lincoln Financial Advisors Corporation </ associatedBDName >
  < associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 333 Thornall Street 9th Floor </ street1 >
  < city > Edison </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08837 </ zipCode >
  </ recipientAddress >
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  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Evan B. Dickens </ recipientName >
  < recipientCRDNumber > 6001407 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 300 SW Columbia Street, Suite 201 </ street1 >
  < city > Bend </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97702 </ zipCode >
  </ recipientAddress >
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  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Willard B. Wellings </ recipientName >
  < recipientCRDNumber > 4436815 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 300 SW Columbia Street, Suite 201 </ street1 >
  < city > Bend </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97702 </ zipCode >
  </ recipientAddress >
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  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James C. Reed </ recipientName >
  < recipientCRDNumber > 5545115 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4312-J Evergreen Lane </ street1 >
  < city > Annandale </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22003 </ zipCode >
  </ recipientAddress >
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  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Timothy J. Harley </ recipientName >
  < recipientCRDNumber > 1096498 </ recipientCRDNumber >
  < associatedBDName > American Portfolios Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4250 Veterans Memorial Hwy. </ street1 >
  < city > Holbrook </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11741 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ 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 >
  </ recipient >
- < recipient >
  < recipientName > Brandon S.Wagner </ recipientName >
  < recipientCRDNumber > 4992650 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 121 South 5th Street </ street1 >
  < city > Bismarck </ city >
  < stateOrCountry > ND </ stateOrCountry >
  < stateOrCountryDescription > NORTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 58504 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > ND </ state >
  < description > NORTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joel R. Drake </ recipientName >
  < recipientCRDNumber > 2178512 </ recipientCRDNumber >
  < associatedBDName > FSC Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3737 Woodland Avenue, Suite 500 </ street1 >
  < city > West Des Moines </ city >
  < stateOrCountry > IA </ stateOrCountry >
  < stateOrCountryDescription > IOWA </ stateOrCountryDescription >
  < zipCode > 50266 </ zipCode >
  </ recipientAddress >
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  < state > IA </ state >
  < description > IOWA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Dustin N. Christopherson </ recipientName >
  < recipientCRDNumber > 4055761 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors LLC </ associatedBDName >
  < associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7955 Stone Creek Street, Suite #20 </ street1 >
  < city > Chanhassen </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 55317 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Daniel J. Rickett </ recipientName >
  < recipientCRDNumber > 2305063 </ recipientCRDNumber >
  < associatedBDName > Voya Financial Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 2882 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 85 E. 7th Place, Suite 275 </ street1 >
  < city > St. Paul </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 55101 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Craig D. Emerson </ recipientName >
  < recipientCRDNumber > 2761245 </ recipientCRDNumber >
  < associatedBDName > Summitt Brokerage Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34643 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5350 South Roslyn Street 370 </ street1 >
  < city > Greenwood Village </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80907 </ zipCode >
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  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Stephen R. Gates </ recipientName >
  < recipientCRDNumber > 4030188 </ recipientCRDNumber >
  < associatedBDName > Summitt Brokerage Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34643 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5350 South Roslyn Street 370 </ street1 >
  < city > Greenwood Village </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80111 </ zipCode >
  </ recipientAddress >
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  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Robert E. Burns </ recipientName >
  < recipientCRDNumber > 4066393 </ recipientCRDNumber >
  < associatedBDName > Summitt Brokerage Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34643 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5350 South Roslyn Street 370 </ street1 >
  < city > Greenwood Village </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80111 </ zipCode >
  </ recipientAddress >
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  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Jason P. Homec </ recipientName >
  < recipientCRDNumber > 6708538 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4565 Hilton Parkway, Suite 101 </ street1 >
  < city > Colorado Springs </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80907 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Wira D. Tjakra </ recipientName >
  < recipientCRDNumber > 2394633 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3070 Bristol Street, Suite 500 </ street1 >
  < city > Costa Mesa </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92626 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < 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 >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John P. Harvey Jr. </ recipientName >
  < recipientCRDNumber > 4227692 </ recipientCRDNumber >
  < associatedBDName > Sandlapper Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1 City Boulevard West, Suite 870 </ street1 >
  < city > Orange </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92868 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Keith A. Herman </ recipientName >
  < recipientCRDNumber > 2322605 </ recipientCRDNumber >
  < associatedBDName > Summitt Brokerage Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34643 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 323 Haddon Ave </ street1 >
  < city > Haddon </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08108 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David J. Chalmers </ recipientName >
  < recipientCRDNumber > 2943921 </ recipientCRDNumber >
  < associatedBDName > Summit Brokerage Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34643 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 323 Haddon Ave </ street1 >
  < city > Haddon </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08108 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christopher L. Cook </ recipientName >
  < recipientCRDNumber > 3142516 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9017 S. Riverside Dr., Suite 200 </ street1 >
  < city > Sandy </ city >
  < stateOrCountry > UT </ stateOrCountry >
  < stateOrCountryDescription > UTAH </ stateOrCountryDescription >
  < zipCode > 84070 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > UT </ state >
  < description > UTAH </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Accuriso J. Indelicato </ recipientName >
  < recipientCRDNumber > 254862 </ recipientCRDNumber >
  < associatedBDName > American Portfolios Financial </ associatedBDName >
  < associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1170 Pittsford Victor Road </ street1 >
  < city > Pittsford </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14534 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert N. Webster </ recipientName >
  < recipientCRDNumber > 1104509 </ recipientCRDNumber >
  < associatedBDName > First Allied Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6684 Gunpark Drive East, Suite 1500 </ street1 >
  < city > Boulder </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80301 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 54858510 </ totalOfferingAmount >
  < totalAmountSold > 33202097 </ totalAmountSold >
  < totalRemaining > 21656413 </ totalRemaining >
  < clarificationOfResponse />
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 87 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 2742925 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  </ findersFees >
  < clarificationOfResponse />
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 3425852 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ grossProceedsUsed >
  < clarificationOfResponse > Estimate of certain fees, including Dealer fee & Placement Agent Fee, and offering organizational expenses that may accrue to one or more Related Persons. </ clarificationOfResponse >
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > Healthcare Portfolio II DST </ issuerName >
  < signatureName > /s/ Keith Lampi </ signatureName >
  < nameOfSigner > Keith Lampi </ nameOfSigner >
  < signatureTitle > President of the Memeber of the Signatory Trustee </ signatureTitle >
  < signatureDate > 2017-05-23 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: May. 23, 2017
EFD Posted: May. 23, 2017