Form D Raw Data - Electronic Filing Depository

EFDID: 247907EFD: Raw Data

Issuer: National Multifamily Portfolio II DST (0001717288) - D/A

Accession: 0001717288-18-000001 () (EDGAR Files) (Form D)

Edgar Posted: Jan. 31, 2018
EFD Posted: Jan. 31, 2018

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001717288 </ cik >

< entityName > National Multifamily 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 > 6302184916 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Business Trust </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2017 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Inland Private Capital Corporation </ 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 > Sponsor of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > NMP II Depositor L.L.C </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o Inland Private Capital Corporation </ street1 >

< street2 > 2901 Butterfield Road </ street2 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Depositor of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > NMP II Exchange, L.L.C. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o Inland Private Capital Corporation </ street1 >

< street2 > 2901 Butterfield Road </ street2 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Signatory Trustee of the Issuer </ 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 > 0001720488-18-000002 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2017-09-21 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Silver Portal Capital LLC </ recipientName >

< recipientCRDNumber > 114290 </ recipientCRDNumber >

< associatedBDName > Iaian Fillippini </ associatedBDName >

< associatedBDCRDNumber > 4708877 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12265 El Camino Real </ street1 >

< street2 > Suite 230 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Robert Smith </ associatedBDName >

< associatedBDCRDNumber > 1412333 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5000 Meadows Road </ street1 >

< street2 > Suite 230 </ street2 >

< 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 > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Daniel Raupp </ associatedBDName >

< associatedBDCRDNumber > 4079107 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 417 East Main Street </ street1 >

< street2 > 3rd Floor </ street2 >

< 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 > Primex Prime Electronic Execution Inc </ recipientName >

< recipientCRDNumber > 29394 </ recipientCRDNumber >

< associatedBDName > Christina Nielson </ associatedBDName >

< associatedBDCRDNumber > 29394 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 650 Town Center Drive </ street1 >

< city > Costa Mesa </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Neil Schmerling </ associatedBDName >

< associatedBDCRDNumber > 4075729 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 261 Old York Road </ street1 >

< street2 > Suite 514 </ street2 >

< city > Jenkintown </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Harold Briggs </ associatedBDName >

< associatedBDCRDNumber > 4404074 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 117 Metro Center Boulevard </ street1 >

< street2 > Suite 3000 </ street2 >

< city > Warwick </ city >

< stateOrCountry > RI </ stateOrCountry >

< stateOrCountryDescription > RHODE ISLAND </ stateOrCountryDescription >

< zipCode > 02886 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Douglas Donald </ associatedBDName >

< associatedBDCRDNumber > 3250757 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2408 Greatstone Point </ street1 >

< city > Lexington </ city >

< stateOrCountry > KY </ stateOrCountry >

< stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >

< zipCode > 40504-3274 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sagepoint Financial, Inc </ recipientName >

< recipientCRDNumber > 133763 </ recipientCRDNumber >

< associatedBDName > Jonathan Hendrix </ associatedBDName >

< associatedBDCRDNumber > 4543970 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5310 Clark Road </ street1 >

< street2 > Suite 204 </ street2 >

< city > Sarasota </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 34233 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Dominick Sarinelli </ associatedBDName >

< associatedBDCRDNumber > 5409729 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 Valley Road </ street1 >

< street2 > Suite 3000 </ street2 >

< city > Mount Arlington </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07856 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Silver Portal Capital LLC </ recipientName >

< recipientCRDNumber > 114290 </ recipientCRDNumber >

< associatedBDName > Paul Rogers </ associatedBDName >

< associatedBDCRDNumber > 6296495 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12265 El Camino Real </ street1 >

< street2 > Suite 230 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Crown Capital Securities L.P. </ recipientName >

< recipientCRDNumber > 6312 </ recipientCRDNumber >

< associatedBDName > Justin Lowy </ associatedBDName >

< associatedBDCRDNumber > 5935993 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 725 Town and Country Road </ street1 >

< street2 > Suite 530 </ street2 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Emerson Equity LLC </ recipientName >

< recipientCRDNumber > 130032 </ recipientCRDNumber >

< associatedBDName > Dinesh Gupta </ associatedBDName >

< associatedBDCRDNumber > 6469999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 777 North First Street </ street1 >

< street2 > Suite 720 </ street2 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95112 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Harbour Investments, Inc </ recipientName >

< recipientCRDNumber > 19258 </ recipientCRDNumber >

< associatedBDName > Kendra Erkamaa </ associatedBDName >

< associatedBDCRDNumber > 4856375 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3101 Ingersoll Ave </ street1 >

< street2 > Suite 204 </ street2 >

< city > Des Moines </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 50312 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > McDermott Investment Services, LLC </ recipientName >

< recipientCRDNumber > 155633 </ recipientCRDNumber >

< associatedBDName > Debra Schleining </ associatedBDName >

< associatedBDCRDNumber > 2768752 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13530 Parker Street </ street1 >

< city > Omaha </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68154 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > G Dennis Shay </ associatedBDName >

< associatedBDCRDNumber > 3134093 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1501 East Mockingbird Lane </ street1 >

< street2 > Suite 300 </ street2 >

< city > Victoria </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77904-2153 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Cabot Lodge Securities LLC </ recipientName >

< recipientCRDNumber > 159712 </ recipientCRDNumber >

< associatedBDName > Robert Tweed </ associatedBDName >

< associatedBDCRDNumber > 2339324 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2060 Huntington Drive </ street1 >

< street2 > Suite 1 </ street2 >

< city > San Marino </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Michael Moomaw </ associatedBDName >

< associatedBDCRDNumber > 6236376 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5635 NE Elam Young Parkway </ street1 >

< street2 > Suite 100 </ street2 >

< city > Hillsboro </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97124 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nationwide Planning Associates, Inc </ recipientName >

< recipientCRDNumber > 31029 </ recipientCRDNumber >

< associatedBDName > Eric Bicknese </ associatedBDName >

< associatedBDCRDNumber > 2829451 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 375 Route 32 </ street1 >

< city > Central Valley </ 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 > Royal Alliance Associates, Inc. </ recipientName >

< recipientCRDNumber > 23131 </ recipientCRDNumber >

< associatedBDName > John Christy </ associatedBDName >

< associatedBDCRDNumber > 4573758 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1535 Walnut Street </ street1 >

< street2 > Suite 107 </ street2 >

< city > Kansas City </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 64108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KS </ state >

< description > KANSAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Leonard Bettencourt </ associatedBDName >

< associatedBDCRDNumber > 4025897 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1325 Campbell Way </ street1 >

< city > Turlock </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95382 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Commonwealth Financial Network </ recipientName >

< recipientCRDNumber > 8032 </ recipientCRDNumber >

< associatedBDName > Bruce Horowitz </ associatedBDName >

< associatedBDCRDNumber > 1333901 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6767 Forest Lawn Drive </ street1 >

< street2 > Suite 120 </ street2 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90068-1027 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > McDermott Investment Services, LLC </ recipientName >

< recipientCRDNumber > 155633 </ recipientCRDNumber >

< associatedBDName > Robert Horning </ associatedBDName >

< associatedBDCRDNumber > 2311640 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 26 West Broad Street </ street1 >

< city > Bethlehem </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18018 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Investment Planners, Inc </ recipientName >

< recipientCRDNumber > 18557 </ recipientCRDNumber >

< associatedBDName > Tom Ealy </ associatedBDName >

< associatedBDCRDNumber > 863042 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2911 Crossing Court #102 </ street1 >

< city > Champaign </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61822 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Investment Planners, Inc </ recipientName >

< recipientCRDNumber > 18557 </ recipientCRDNumber >

< associatedBDName > John Foley </ associatedBDName >

< associatedBDCRDNumber > 1287148 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2911 Crossing Court #102 </ street1 >

< city > Champaign </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61822 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Investment Planners, Inc </ recipientName >

< recipientCRDNumber > 18557 </ recipientCRDNumber >

< associatedBDName > Caleb Smoes </ associatedBDName >

< associatedBDCRDNumber > 5968483 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2911 Crossing Court #102 </ street1 >

< city > Champaign </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61822 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Woodbury Financial Services, Inc </ recipientName >

< recipientCRDNumber > 421 </ recipientCRDNumber >

< associatedBDName > David Florell </ associatedBDName >

< associatedBDCRDNumber > 5210813 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5831 South 58th Street </ street1 >

< street2 > Suite D </ street2 >

< city > Lincoln </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68516 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Investment Planners, Inc </ recipientName >

< recipientCRDNumber > 18557 </ recipientCRDNumber >

< associatedBDName > Christopher Mackenzie </ associatedBDName >

< associatedBDCRDNumber > 4164821 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 420 Maine Street </ street1 >

< city > Quincy </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 62301 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Delmar McKinney </ associatedBDName >

< associatedBDCRDNumber > 1186853 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 700 N Main Street </ street1 >

< city > Taylor </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 76574 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kovack Securities, Inc </ recipientName >

< recipientCRDNumber > 44848 </ recipientCRDNumber >

< associatedBDName > Chris Hartman </ associatedBDName >

< associatedBDCRDNumber > 1850747 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3757 State Steet </ street1 >

< street2 > Suite 3A </ street2 >

< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93105 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sigma Financial Corporation </ recipientName >

< recipientCRDNumber > 14303 </ recipientCRDNumber >

< associatedBDName > Tom Velken </ associatedBDName >

< associatedBDCRDNumber > 1600404 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1078 Carol Lane #203 </ street1 >

< city > Lafayette </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94549 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Berge Avedisian </ associatedBDName >

< associatedBDCRDNumber > 2750210 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 25 West 45th Street </ street1 >

< street2 > Suite 504 </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10036 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sagepoint Financial, Inc </ recipientName >

< recipientCRDNumber > 133763 </ recipientCRDNumber >

< associatedBDName > Jonathan Keller </ associatedBDName >

< associatedBDCRDNumber > 4344114 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3340-A Bee Ridge Road </ street1 >

< city > Sarasota </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 34231 </ zipCode >

</ recipientAddress >

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< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Westpark Capital Inc </ recipientName >

< recipientCRDNumber > 39914 </ recipientCRDNumber >

< associatedBDName > David Levinson </ associatedBDName >

< associatedBDCRDNumber > 705929 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18872 MacArthur Blvd </ street1 >

< street2 > 1st Floor </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92612 </ zipCode >

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< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Jerome Kotzur </ associatedBDName >

< associatedBDCRDNumber > 4394788 </ associatedBDCRDNumber >

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< street1 > 1501 East Mockingbird Lane, Suite 300 </ street1 >

< city > Victoria </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77904-2153 </ zipCode >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc. </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > Nicholas Ellis </ associatedBDName >

< associatedBDCRDNumber > 1082891 </ associatedBDCRDNumber >

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< street1 > 14841 Yorba Street </ street1 >

< street2 > Suite 101 </ street2 >

< city > Tustin </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92780 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DFPG Investments, Inc </ recipientName >

< recipientCRDNumber > 155576 </ recipientCRDNumber >

< associatedBDName > Joseph Broadbent </ associatedBDName >

< associatedBDCRDNumber > 3132498 </ associatedBDCRDNumber >

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< street1 > 9017 S Riverside Drive </ street1 >

< street2 > Suite 200 </ street2 >

< city > Sandy </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc. </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > John Scully </ associatedBDName >

< associatedBDCRDNumber > 803539 </ associatedBDCRDNumber >

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< street1 > 450 Skokie Boulevard </ street1 >

< street2 > Suite 301 </ street2 >

< city > Northbrook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60062 </ zipCode >

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< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > FSC Securities Corporation </ recipientName >

< recipientCRDNumber > 7461 </ recipientCRDNumber >

< associatedBDName > Ralph Adamo </ associatedBDName >

< associatedBDCRDNumber > 1624126 </ associatedBDCRDNumber >

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< street1 > 3991 Macarthur Blvd </ street1 >

< street2 > Suite 215 </ street2 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > The Strategic Financial Alliance </ recipientName >

< recipientCRDNumber > 126514 </ recipientCRDNumber >

< associatedBDName > Brian Bennett </ associatedBDName >

< associatedBDCRDNumber > 821115 </ associatedBDCRDNumber >

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< street1 > 731 N Tejon Street </ street1 >

< city > Colorado Springs </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80903 </ zipCode >

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< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Parkland Securites, LLC </ recipientName >

< recipientCRDNumber > 115368 </ recipientCRDNumber >

< associatedBDName > Stuart Leibowitz </ associatedBDName >

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< street1 > 4066 Butler Pike </ street1 >

< city > Plymouth Meeting </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19462 </ zipCode >

</ recipientAddress >

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< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > Kate King </ associatedBDName >

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< street1 > 4000 Barranca Parkway </ street1 >

< street2 > Suite 250 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92604 </ zipCode >

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< state > AL </ state >

< description > ALABAMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Cambridge Investment Research </ recipientName >

< recipientCRDNumber > 39543 </ recipientCRDNumber >

< associatedBDName > Scott Bombeck </ associatedBDName >

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< street2 > Suite 9f </ street2 >

< city > Prospect Park </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19076 </ zipCode >

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< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > FSC Securities Corporation </ recipientName >

< recipientCRDNumber > 7461 </ recipientCRDNumber >

< associatedBDName > M Jay Mulligan </ associatedBDName >

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< street1 > 9200 Indian Creek Parkway </ street1 >

< street2 > Suite 140 </ street2 >

< city > Overland Park </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66210 </ zipCode >

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< state > KS </ state >

< description > KANSAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Royal Alliance Associates, Inc </ recipientName >

< recipientCRDNumber > 23131 </ recipientCRDNumber >

< associatedBDName > David Fingerhut </ associatedBDName >

< associatedBDCRDNumber > 2206103 </ associatedBDCRDNumber >

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< street1 > 16020 Swingley Ridge Road </ street1 >

< street2 > Suite 100 </ street2 >

< city > Chesterfield </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63017 </ zipCode >

</ recipientAddress >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Royal Alliance Associates, Inc </ recipientName >

< recipientCRDNumber > 23131 </ recipientCRDNumber >

< associatedBDName > William Upson </ associatedBDName >

< associatedBDCRDNumber > 1241673 </ associatedBDCRDNumber >

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< street1 > 1990 N California Blvd </ street1 >

< street2 > 8th Floor </ street2 >

< city > Walnut Creek </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 945696 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Cambridge Investment Research </ recipientName >

< recipientCRDNumber > 39543 </ recipientCRDNumber >

< associatedBDName > Ann Stewart </ associatedBDName >

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< street1 > 2114 N Lincoln Ave #206 </ street1 >

< city > Loveland </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80538 </ zipCode >

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< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 134224 </ recipientCRDNumber >

< associatedBDName > Robert Hackenberg </ associatedBDName >

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< street1 > State Route 611 </ street1 >

< city > Tannersville </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18372 </ zipCode >

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< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Daniel Vincent </ associatedBDName >

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< city > Chico </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95928 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > Kelley Slaught </ associatedBDName >

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< street1 > 3902 State Street Suite 101 </ street1 >

< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

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< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > Michael Morando </ associatedBDName >

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< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93105 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 133763 </ recipientCRDNumber >

< associatedBDName > Maxwell PHillips </ associatedBDName >

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< street1 > 3902 State Street Suite 101 </ street1 >

< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93105 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DFPG Investments, Inc </ recipientName >

< recipientCRDNumber > 155576 </ recipientCRDNumber >

< associatedBDName > Scott Sheehan </ associatedBDName >

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< city > Cornwall </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 12518 </ zipCode >

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< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Marcia Geltman </ associatedBDName >

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< street1 > 200 Valley Road Suite 300 </ street1 >

< city > Mount Arlington </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07856 </ zipCode >

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< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Simmons First Investment Group Inc </ recipientName >

< recipientCRDNumber > 47439 </ recipientCRDNumber >

< associatedBDName > Jimmy Hicks </ associatedBDName >

< associatedBDCRDNumber > 5069270 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11700 Cantrell </ street1 >

< city > Little Rock </ city >

< stateOrCountry > AR </ stateOrCountry >

< stateOrCountryDescription > ARKANSAS </ stateOrCountryDescription >

< zipCode > 72223 </ zipCode >

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< state > AR </ state >

< description > ARKANSAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > Cambridge Investment Research </ recipientName >

< recipientCRDNumber > 39543 </ recipientCRDNumber >

< associatedBDName > Walter Heidenreich III </ associatedBDName >

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< street1 > 13984 West Bowles Ave 102 </ street1 >

< city > Littleton </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80127 </ zipCode >

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< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Ron Horvitz </ associatedBDName >

< associatedBDCRDNumber > 1277033 </ associatedBDCRDNumber >

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< street1 > 3991 Ohio Street </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92104-3014 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > Sandlapper Securities, LLC </ recipientName >

< recipientCRDNumber > 137906 </ recipientCRDNumber >

< associatedBDName > Scott Offerman </ associatedBDName >

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< street1 > Sandlapper Financial Center </ street1 >

< street2 > 800 E North Street, 2nd Floor </ street2 >

< city > Greenville </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 2960 </ zipCode >

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< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > Cambridge Investment Research </ recipientName >

< recipientCRDNumber > 39543 </ recipientCRDNumber >

< associatedBDName > Michael Curley </ associatedBDName >

< associatedBDCRDNumber > 3259110 </ associatedBDCRDNumber >

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< street1 > 5636 Bridgetown Rd </ street1 >

< street2 > Suite F </ street2 >

< city > Cincinnati </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 45248 </ zipCode >

</ recipientAddress >

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< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Mark Coombe </ associatedBDName >

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< street1 > 260 Country Club Rd </ street1 >

< city > Eugene </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97401 </ zipCode >

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< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Michael Stieglitz </ associatedBDName >

< associatedBDCRDNumber > 4623788 </ associatedBDCRDNumber >

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< street1 > 336 Sparta Avenue </ street1 >

< city > Sparta </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07871-1760 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Capulet LLC </ recipientName >

< recipientCRDNumber > 155155 </ recipientCRDNumber >

< associatedBDName > Edward Fernandez </ associatedBDName >

< associatedBDCRDNumber > 2956667 </ associatedBDCRDNumber >

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< street1 > 1 Spectrum Pointe Drive </ street1 >

< street2 > Suite 150 </ street2 >

< city > Lake Forest </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92630 </ zipCode >

</ recipientAddress >

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< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 30349 </ recipientCRDNumber >

< associatedBDName > Gene Alvin Brehm </ associatedBDName >

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< street1 > 7809 Broadway Street </ street1 >

< city > San Antonio </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78209-2558 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Primex Prime Electronic Execution Inc </ recipientName >

< recipientCRDNumber > 4866971 </ recipientCRDNumber >

< associatedBDName > Christina Nielson </ associatedBDName >

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< street1 > 650 Town Center Drive </ street1 >

< street2 > Suite 1400 </ street2 >

< city > Costa Mesa </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

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< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > Diane Jaworski-Faulhaber </ recipientName >

< recipientCRDNumber > 3093135 </ recipientCRDNumber >

< associatedBDName > Ameritas Investment Corp. </ associatedBDName >

< associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >

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< street1 > 1700 Norbridge Avenue </ street1 >

< city > Castro Valley </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94546 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > Walter Webb </ recipientName >

< recipientCRDNumber > 1120975 </ recipientCRDNumber >

< associatedBDName > FSC Securities Corporation </ associatedBDName >

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< street1 > One Union Square 804 Krystal Building </ street1 >

< city > Chattanooga </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37402 </ zipCode >

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< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > Michael Speer </ recipientName >

< recipientCRDNumber > 2414155 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5200 DTC Parkway Suite 530 </ street1 >

< city > Greenwood Village </ 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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< recipientName > Shawn Valentine </ recipientName >

< recipientCRDNumber > 4632973 </ recipientCRDNumber >

< associatedBDName > Calton & Associates </ associatedBDName >

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< street1 > 1049 Washington Avenue </ street1 >

< city > Washington Court House </ city >

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< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

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</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

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< recipientName > David Fingerhut </ recipientName >

< recipientCRDNumber > 2206103 </ recipientCRDNumber >

< associatedBDName > Royal Alliance Associates, Inc </ associatedBDName >

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- < recipientAddress >

< street1 > 16020 Swingley Ridge Road </ street1 >

< street2 > Suite 100 </ street2 >

< city > Chesterfield </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wayne Pampaloni </ recipientName >

< recipientCRDNumber > 2201691 </ recipientCRDNumber >

< associatedBDName > The Strategic Financial Alliance </ 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 > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Troy Thomas </ recipientName >

< recipientCRDNumber > 4691720 </ recipientCRDNumber >

< associatedBDName > McDermott Investment Services LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 Main Street </ street1 >

< street2 > Suite 260 </ street2 >

< city > Huntington Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92648 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kelli Lynn Holliefield </ recipientName >

< recipientCRDNumber > 4714815 </ recipientCRDNumber >

< associatedBDName > Calton and Associates </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7700 San Jacinto Place Suite 200 </ street1 >

< city > Plano </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75024 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > H.D. Vest Investment Securities Inc </ recipientName >

< recipientCRDNumber > 13686 </ recipientCRDNumber >

< associatedBDName > Alton Thiele </ associatedBDName >

< associatedBDCRDNumber > 4236443 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 E Ave C </ street1 >

< city > Belton </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 76513 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Vanderbilt Securities, LLC </ recipientName >

< recipientCRDNumber > 5953 </ recipientCRDNumber >

< associatedBDName > Chris Corritore </ associatedBDName >

< associatedBDCRDNumber > 2306471 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7811 15th Ave </ street1 >

< city > Brooklyn </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11228 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Vanderbilt Securities, LLC </ recipientName >

< recipientCRDNumber > 5953 </ recipientCRDNumber >

< associatedBDName > Robert Procida </ associatedBDName >

< associatedBDCRDNumber > 1067047 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7811 15th Ave </ street1 >

< city > Brooklyn </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11228 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Parkland Securities, LLC </ recipientName >

< recipientCRDNumber > 115368 </ recipientCRDNumber >

< associatedBDName > Gordon Hamilton </ associatedBDName >

< associatedBDCRDNumber > 5028789 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5875 Lehman Drive </ street1 >

< street2 > Suite 201E </ street2 >

< city > Colorado Springs </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80918 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Parkland Securities, LLC </ recipientName >

< recipientCRDNumber > 115368 </ recipientCRDNumber >

< associatedBDName > Josh Griffin </ associatedBDName >

< associatedBDCRDNumber > 4664355 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6312 South Fiddlers Green Circle </ street1 >

< street2 > 300e </ street2 >

< city > Greenwood Village </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Moloney Securities Co </ recipientName >

< recipientCRDNumber > 38535 </ recipientCRDNumber >

< associatedBDName > David Wood </ associatedBDName >

< associatedBDCRDNumber > 2306563 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 618 Chestnut Road </ street1 >

< street2 > Suite 108 </ street2 >

< city > Myrtle Beach </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29572 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial Inc </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > Mike Kilpatrick </ associatedBDName >

< associatedBDCRDNumber > 1278618 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5999 Bridge View Street </ street1 >

< city > Camarillo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > McDermott Investment Services, LLC </ recipientName >

< recipientCRDNumber > 154926 </ recipientCRDNumber >

< associatedBDName > Corbin Thomas </ associatedBDName >

< associatedBDCRDNumber > 4234748 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 Main Street </ street1 >

< street2 > Suite 260 </ street2 >

< city > Hungtinton Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92648 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Woodbury Financial Services, Inc </ recipientName >

< recipientCRDNumber > 421 </ recipientCRDNumber >

< associatedBDName > Paul Zalduendo </ associatedBDName >

< associatedBDCRDNumber > 5152603 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1801 S Meyers Road </ street1 >

< street2 > Suite 150 </ street2 >

< city > Oakbrook Terrace </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60181 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > H.D. Vest Investment Securities Inc </ recipientName >

< recipientCRDNumber > 13686 </ recipientCRDNumber >

< associatedBDName > Lisa Pugel </ associatedBDName >

< associatedBDCRDNumber > 2506156 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 Milwaukee Ave </ street1 >

< city > South Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53172 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Coles </ recipientName >

< recipientCRDNumber > 2632270 </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 E. Katella Ave </ street1 >

< street2 > Suite 200 </ street2 >

< city > Anaheim </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92806 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Herb Alston </ recipientName >

< recipientCRDNumber > 5294132 </ recipientCRDNumber >

< associatedBDName > Concorde Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 Victor Parkway </ street1 >

< street2 > Suite 550 </ street2 >

< city > Livonia </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Del Londono </ recipientName >

< recipientCRDNumber > 2695744 </ recipientCRDNumber >

< associatedBDName > Sagepoint Financial, Inc </ associatedBDName >

< associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20 E Thomas Rd </ street1 >

< street2 > Suite 2000 </ street2 >

< city > Phoenix </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mitchal O'Hare </ recipientName >

< recipientCRDNumber > 4561108 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1776 PLEASANT PLAIN RD. </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sigrid Daugaard </ recipientName >

< recipientCRDNumber > 5481583 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1776 PLEASANT PLAIN RD. </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Dahill </ recipientName >

< recipientCRDNumber > 6581024 </ recipientCRDNumber >

< associatedBDName > WealthForge Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6800 PARAGON PLACE </ street1 >

< street2 > Suite 200 </ street2 >

< city > Richmond </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23230 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Spencer Weston </ recipientName >

< recipientCRDNumber > 1482772 </ recipientCRDNumber >

< associatedBDName > Questar Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5701 GOLDEN HILLS DRIVE </ street1 >

< city > MINNEAPOLIS </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55416 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kevin Snow </ recipientName >

< recipientCRDNumber > 1941166 </ recipientCRDNumber >

< associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20 E THOMAS RD </ street1 >

< street2 > SUITE 2000 </ street2 >

< city > Phoenix </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Hohenstein </ recipientName >

< recipientCRDNumber > 2673397 </ recipientCRDNumber >

< associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20 E THOMAS RD </ street1 >

< street2 > SUITE 2000 </ street2 >

< city > Phoenix </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Gambaccini </ recipientName >

< recipientCRDNumber > 4619759 </ recipientCRDNumber >

< associatedBDName > The Strategic Financial Alliance </ associatedBDName >

< associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2200 CENTURY PARKWAY </ street1 >

< street2 > SUITE 500 </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30345 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Hoffman </ recipientName >

< recipientCRDNumber > 1582096 </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 E. KATELLA AVENUE </ street1 >

< street2 > SUITE #200 </ street2 >

< city > Anaheim </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92806 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Deanne Tegtmeier </ recipientName >

< recipientCRDNumber > 2649519 </ recipientCRDNumber >

< associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20 E THOMAS RD </ street1 >

< street2 > Suite 2000 </ street2 >

< city > Phoenix </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85012 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard Park </ recipientName >

< recipientCRDNumber > 4557055 </ recipientCRDNumber >

< associatedBDName > Royal Alliance Associates, Inc </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10 EXCHANGE PLACE </ street1 >

< street2 > SUITE 1410 </ street2 >

< city > Jersey City </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07302 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Manuel Ramos </ recipientName >

< recipientCRDNumber > 1956224 </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 E. KATELLA AVENUE </ street1 >

< street2 > SUITE #200 </ street2 >

< city > Anaheim </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92806 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian Vosberg </ recipientName >

< recipientCRDNumber > 4476509 </ recipientCRDNumber >

< associatedBDName > Centaurus Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 E. KATELLA AVENUE </ street1 >

< street2 > SUITE #200 </ street2 >

< city > ANAHEIM, </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92806 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Parise </ recipientName >

< recipientCRDNumber > 5749379 </ recipientCRDNumber >

< associatedBDName > American Portfolios Financial Svcs </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4250 VETERANS MEMORIAL HIGHWAY </ street1 >

< street2 > 4TH FLOOR EAST </ street2 >

< city > HOLBROOK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11741 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gregg Kiefer </ recipientName >

< recipientCRDNumber > 3230611 </ recipientCRDNumber >

< associatedBDName > 1st Global Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Bruner </ recipientName >

< recipientCRDNumber > 2260319 </ recipientCRDNumber >

< associatedBDName > Questar Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5701 GOLDEN HILLS DRIVE </ street1 >

< city > MINNEAPOLIS </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55416 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Shannon Markle </ recipientName >

< recipientCRDNumber > 4358151 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1776 PLEASANT PLAIN RD. </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

< over100RecipientFlag > true </ over100RecipientFlag >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 63028537 </ totalOfferingAmount >

< totalAmountSold > 61577361 </ totalAmountSold >

< totalRemaining > 1451176 </ totalRemaining >

< clarificationOfResponse > Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 138 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 4979255 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ findersFees >

< clarificationOfResponse > Sales Commissions includes estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid to one or more Related Persons. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 3408257 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > Item 16 is an estimate of acquisition fees and offering and organizational expenses that may accrues to one or more Related Persons </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > National Multifamily Portfolio II DST </ issuerName >

< signatureName > /s/ Rahul Sehgal </ signatureName >

< nameOfSigner > Rahul Sehgal </ nameOfSigner >

< signatureTitle > CIO of Sole Member of Signatory Trustee of the Issuer </ signatureTitle >

< signatureDate > 2018-01-31 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >