Form D Raw Data - Electronic Filing Depository

EFDID: 331728EFD: Raw Data

Issuer: Passco Mellody Farm DST (0001800728) - D/A

Accession: 0001800728-20-000002 () (EDGAR Files) (Form D)

Edgar Posted: Sep. 14, 2020
EFD Posted: Sep. 14, 2020

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001800728 </ cik >

< entityName > Passco Mellody Farm DST </ entityName >

- < issuerAddress >

< street1 > 2050 MAIN STREET, SUITE 650 </ street1 >

< city > IRVINE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (949) 263-7900 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Other </ entityType >

< entityTypeOtherDesc > Statutory Trust </ entityTypeOtherDesc >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2019 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Larry </ firstName >

< middleName > K. </ middleName >

< lastName > Sullivan </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > President of the Sole Member of the Issuer's Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > William </ firstName >

< middleName > O. </ middleName >

< lastName > Passo </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Belden </ firstName >

< lastName > Brown </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Thomas </ firstName >

< middleName > B. </ middleName >

< lastName > Jahncke </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Passco Companies, LLC </ firstName >

< lastName > Passco Companies, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Passco Mellody Farm Depositor, LLC </ firstName >

< lastName > Passco Mellody Farm Depositor, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Passco Mellody Farm Manager, LLC </ firstName >

< lastName > Passco Mellody Farm Manager, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Residential </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001800728-20-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2020-01-15 </ 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 > William Olaf Passo </ recipientName >

< recipientCRDNumber > 1577661 </ recipientCRDNumber >

< associatedBDName > Passco Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 117323 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

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< description > ARKANSAS </ description >

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< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

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< description > MAINE </ description >

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< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

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< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

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< state > NV </ state >

< description > NEVADA </ description >

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< description > NEW HAMPSHIRE </ description >

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< description > PENNSYLVANIA </ description >

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< description > RHODE ISLAND </ description >

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< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Adriana Angela Olsen </ recipientName >

< recipientCRDNumber > 4669125 </ recipientCRDNumber >

< associatedBDName > Passco Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 117323 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2050 Main Street, Suite 650 </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

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< description > DELAWARE </ description >

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< description > MISSOURI </ description >

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< description > OHIO </ description >

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< description > OREGON </ description >

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< description > PENNSYLVANIA </ description >

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< description > RHODE ISLAND </ description >

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</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ronald David Birnbaum </ recipientName >

< recipientCRDNumber > 2382580 </ recipientCRDNumber >

< associatedBDName > Advisory Group Equity Services Ltd. </ associatedBDName >

< associatedBDCRDNumber > 15427 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Gateway Center, Suite 350 </ street1 >

< city > Newton </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02458 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

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< description > COLORADO </ description >

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< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

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< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > VT </ state >

< description > VERMONT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Frederick E. Hubler, Jr. </ recipientName >

< recipientCRDNumber > 4401049 </ recipientCRDNumber >

< associatedBDName > Arkadios Capital </ associatedBDName >

< associatedBDCRDNumber > 282710 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1220 Valley Forge Road, Suite 3 </ street1 >

< city > Phoenixville </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19460 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian Thomas Lombardo </ recipientName >

< recipientCRDNumber > 5606589 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2570 North First Street, Suite 200 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95131 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christina Lindsey Orta </ recipientName >

< recipientCRDNumber > 3278327 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4195 E. Thousand Oaks Blvd, Suite 125 </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95603 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

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< description > CALIFORNIA </ description >

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< state > MN </ state >

< description > MINNESOTA </ description >

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< description > NEVADA </ description >

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< description > NEW YORK </ description >

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< state > ND </ state >

< description > NORTH DAKOTA </ description >

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< description > OKLAHOMA </ description >

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< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Cunningham Lindsey </ recipientName >

< recipientCRDNumber > 2809808 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research, Inc. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4195 E. Thousand Oaks Blvd, Suite 125 </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95603 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

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< description > FLORIDA </ description >

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< description > HAWAII </ description >

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< description > IDAHO </ description >

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< state > MN </ state >

< description > MINNESOTA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

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< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

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< description > OKLAHOMA </ description >

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< description > OREGON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph Rowell Fraser </ recipientName >

< recipientCRDNumber > 6975700 </ recipientCRDNumber >

< associatedBDName > Colorado Financial Service Corporation </ associatedBDName >

< associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12647 Alcosta Boulevard, Suite 470 </ street1 >

< city > San Ramon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94526 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brad Watt </ recipientName >

< recipientCRDNumber > 2565438 </ recipientCRDNumber >

< associatedBDName > Colorado Financial Service Corporation </ associatedBDName >

< associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 188 Inverness Drive West, Suite 100 </ street1 >

< city > Centennial </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80112 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 Victor Parkway, Suite 550 </ street1 >

< city > Livonia </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Lawrence Cruz </ recipientName >

< recipientCRDNumber > 2130750 </ recipientCRDNumber >

< associatedBDName > Courtlandt Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 137356 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18218 McDurmott, Suite A </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92614 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DAI Securities, LLC </ recipientName >

< recipientCRDNumber > 36673 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2200 Century Parkway NE, Suite 435 </ street1 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30345 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DFPG Investments, LLC </ recipientName >

< recipientCRDNumber > 155576 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9017 S Riverside Drive, Suite 210 </ street1 >

< city > Sandy </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Marilee Ann Hill </ recipientName >

< recipientCRDNumber > 2768544 </ recipientCRDNumber >

< associatedBDName > Emerson Equity LLC </ associatedBDName >

< associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 155 Bovet Road, Suite 725 </ street1 >

< city > San Mateo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen Philip Mark </ recipientName >

< recipientCRDNumber > 2518425 </ recipientCRDNumber >

< associatedBDName > Emerson Equity LLC </ associatedBDName >

< associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 155 Bovet Road, Suite 725 </ street1 >

< city > San Mateo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Zack Steven Brough </ recipientName >

< recipientCRDNumber > 5674690 </ recipientCRDNumber >

< associatedBDName > Emerson Equity LLC </ associatedBDName >

< associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 155 Bovet Road, Suite 725 </ street1 >

< city > San Mateo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bryan Stuart Kocen </ recipientName >

< recipientCRDNumber > 2119036 </ recipientCRDNumber >

< associatedBDName > Financial Goal Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 19066 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 35-900 Bob Hope Drive, Suite 202 </ street1 >

< city > Rancho Mirage </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92270 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey MacDonald Holt </ recipientName >

< recipientCRDNumber > 1334807 </ recipientCRDNumber >

< associatedBDName > FMN Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 38105 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 26041 Acero </ street1 >

< city > Mission Viejo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92691 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Peter Alexander 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 > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Independent Financial Group, LLC </ recipientName >

< recipientCRDNumber > 7717 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12671 High Bluff Drive, Suite 200 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Giovanni Migliaccio </ recipientName >

< recipientCRDNumber > 2710482 </ recipientCRDNumber >

< associatedBDName > Investacorp, Inc. </ associatedBDName >

< associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 225 Wireless Blvd, Suite 103 </ street1 >

< city > Hauppauge </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11788 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kevin Patrick Fitzgerald </ recipientName >

< recipientCRDNumber > 1754938 </ recipientCRDNumber >

< associatedBDName > Investacorp, Inc. </ associatedBDName >

< associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 268 E. Hamilton Avenue, Suite E </ street1 >

< city > Campbell </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95008 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gregory Scott Teal </ recipientName >

< recipientCRDNumber > 4768591 </ recipientCRDNumber >

< associatedBDName > Invicta Capital LLC </ associatedBDName >

< associatedBDCRDNumber > 288101 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 Springbrooke Road </ street1 >

< city > Aston </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19014 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Larry Richard Law </ recipientName >

< recipientCRDNumber > 1273118 </ recipientCRDNumber >

< associatedBDName > JRL Capital Corporation </ associatedBDName >

< associatedBDCRDNumber > 10225 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 20371 Irvine Avenue, Suite A-140 </ street1 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Donald Samuel Meredith </ recipientName >

< recipientCRDNumber > 1867703 </ recipientCRDNumber >

< associatedBDName > Lightpath Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1453 Third Street Promenade, Suite 315 </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Frank Piscitelli </ recipientName >

< recipientCRDNumber > 6935623 </ recipientCRDNumber >

< associatedBDName > Lightpath Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3130 Baker Street </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94123 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Leslie Margaret Pappas </ recipientName >

< recipientCRDNumber > 1735372 </ recipientCRDNumber >

< associatedBDName > Lightpath Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3130 Baker Street </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94123 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Paul Getty </ recipientName >

< recipientCRDNumber > 6470002 </ recipientCRDNumber >

< associatedBDName > Lightpath Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 97 East Brokaw Road, Suite 350 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95112 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Alan Horning </ recipientName >

< recipientCRDNumber > 2311640 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6633 S. Halm Avenue </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Harris Freedman </ recipientName >

< recipientCRDNumber > 4765269 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 44 East Broad Street, 2nd Floor </ street1 >

< city > Bethlehem </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18018 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Alan Horning </ recipientName >

< recipientCRDNumber > 2311640 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6633 S. Halm Avenue </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Adam Jack Bryan </ recipientName >

< recipientCRDNumber > 5443986 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10111 Petit Avenue </ street1 >

< city > North Hills </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91343 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Eric Arthur Bicknese </ recipientName >

< recipientCRDNumber > 2829451 </ recipientCRDNumber >

< associatedBDName > Nationwide Planning Associates Inc. </ associatedBDName >

< associatedBDCRDNumber > 31029 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 600 Third Avenue, 3rd Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10016 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kyle George Corgan </ recipientName >

< recipientCRDNumber > 4417800 </ recipientCRDNumber >

< associatedBDName > Newbridge Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 104065 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6800 Jericho Turnpike, Suite 204E </ street1 >

< city > Syosset </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11791 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sonya Lee Gotz </ recipientName >

< recipientCRDNumber > 4007918 </ recipientCRDNumber >

< associatedBDName > Nextrend Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43710 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 28202 Cabot Road, Suite 300 </ street1 >

< city > Laguna Niguel </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92677 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Catherine Nadine King </ recipientName >

< recipientCRDNumber > 4804484 </ recipientCRDNumber >

< associatedBDName > Oak Tree Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18126 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1399 Camden Court </ street1 >

< city > Brentwood </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94513 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Raymond Butts </ recipientName >

< recipientCRDNumber > 2684500 </ recipientCRDNumber >

< associatedBDName > SCF Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 47275 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 N Irwin Street </ street1 >

< city > Hanford </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93230 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kyle James DePasquale </ recipientName >

< recipientCRDNumber > 5742585 </ recipientCRDNumber >

< associatedBDName > Sentinus-Halo Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 279029 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 700 Commerce Drive, Suite 170 </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Anthony Brown </ recipientName >

< recipientCRDNumber > 6900485 </ recipientCRDNumber >

< associatedBDName > Stax Capital </ associatedBDName >

< associatedBDCRDNumber > 300607 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4901 Morena Boulevard, Suite 121 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92117 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stacey Jim Morimoto </ recipientName >

< recipientCRDNumber > 4420782 </ recipientCRDNumber >

< associatedBDName > Stax Capital </ associatedBDName >

< associatedBDCRDNumber > 300607 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4901 Morena Boulevard, Suite 121 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92117 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Terry Donald Deever </ recipientName >

< recipientCRDNumber > 4215379 </ recipientCRDNumber >

< associatedBDName > TCFG Wealth Management, LLC </ associatedBDName >

< associatedBDCRDNumber > 164153 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 340 Rosewood Avenue, Suite C </ street1 >

< city > Camarillo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93010 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David P. Dahill </ recipientName >

< recipientCRDNumber > 6581024 </ recipientCRDNumber >

< associatedBDName > Thornhill Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 111 Congress Avenue, Suite 1000 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Thomas Book Jahncke </ recipientName >

< recipientCRDNumber > 1078444 </ recipientCRDNumber >

< associatedBDName > Titan Securities </ associatedBDName >

< associatedBDCRDNumber > 131392 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 16775 Addison Road, Suite 525 </ street1 >

< city > Addison </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75001 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Neil Eric Elmouchi </ recipientName >

< recipientCRDNumber > 200624 </ recipientCRDNumber >

< associatedBDName > Triad Advisors LLC </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3075 Townsgate Road, Suite 180 </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91361 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AK </ state >

< description > ALASKA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Betty L. Friant </ recipientName >

< recipientCRDNumber > 2122446 </ recipientCRDNumber >

< associatedBDName > Wealthforge Securites, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 582 Market Street, Suite 300 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Chay Thomas Lapin </ recipientName >

< recipientCRDNumber > 6275140 </ recipientCRDNumber >

< associatedBDName > Wealthforge Securites, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 582 Market Street, Suite 300 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John P. Harvey, Jr. </ recipientName >

< recipientCRDNumber > 4227692 </ recipientCRDNumber >

< associatedBDName > Wealthforge Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7051 Heathcote Village Way, Suite 200 </ street1 >

< city > Gainesville </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 21069 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen Paul Haskell </ recipientName >

< recipientCRDNumber > 6864948 </ recipientCRDNumber >

< associatedBDName > Wealthforge Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 582 Market Street, Suite 300 </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > WY </ state >

< description > WYOMING </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert J. Loo </ recipientName >

< recipientCRDNumber > 1303331 </ recipientCRDNumber >

< associatedBDName > Whitehall-Parker Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 10608 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 117 Paul Drive, Suite B </ street1 >

< city > San Rafael </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94903 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 41425000 </ totalOfferingAmount >

< totalAmountSold > 41425000 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 139 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 3624688 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 5271677 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > Passco Mellody Farm Depositor, LLC was responsible for paying certain fees and costs of approximately $5,131,677. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Passco Mellody Farm DST </ issuerName >

< signatureName > /s/ Larry K. Sullivan </ signatureName >

< nameOfSigner > Larry K. Sullivan </ nameOfSigner >

< signatureTitle > PRESIDENT OF THE SOLE MEMBER OF ISSUER'S MANAGER </ signatureTitle >

< signatureDate > 2020-09-14 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >