Form D Raw Data - Electronic Filing Depository

EFDID: 421948EFD: Raw Data

Issuer: Protective COLI PPVUL (0001836983) - D/A

Accession: 0001836983-25-000004 () (EDGAR Files) (Form D)

Edgar Posted: Oct. 27, 2025
EFD Posted: Oct. 27, 2025

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001836983 </ cik >

< entityName > Protective COLI PPVUL </ entityName >

- < issuerAddress >

< street1 > 2801 HIGHWAY 280 SOUTH </ street1 >

< city > BIRMINGHAM </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35223 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 205-268-1000 </ issuerPhoneNumber >

< jurisdictionOfInc > NEBRASKA </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Other </ entityType >

< entityTypeOtherDesc > Insurance Company Separate Account </ entityTypeOtherDesc >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Insurance Company </ firstName >

< lastName > Protective Life </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2801 Highway 280 South </ street1 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35223 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > The issuer is an insurance company separate account established and maintained by Protective Life Insurance Company. </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Other Investment Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

< item > 3C </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001836983-24-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2021-02-01 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Variable life insurance contract </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse > The issuer is an insurance company separate account established and maintained by Protective Life Insurance Company </ clarificationOfResponse >

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Todd Mezrah </ recipientName >

< recipientCRDNumber > 2313891 </ recipientCRDNumber >

< associatedBDName > Lion Street Financial </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 515 Congress Ave </ street1 >

< street2 > Ste 2500 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sean Devlin </ recipientName >

< recipientCRDNumber > 2782108 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd #200 </ street1 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Peter Gilman </ recipientName >

< recipientCRDNumber > 1555509 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd #200 </ street1 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Earl Schwabe </ recipientName >

< recipientCRDNumber > 2722383 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd #200 </ street1 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Shawn Hintz </ recipientName >

< recipientCRDNumber > 2626246 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 925 4th Ave </ street1 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Trent Sanden </ recipientName >

< recipientCRDNumber > 2877664 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 925 4th Ave </ street1 >

< street2 > #3100 </ street2 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jimmy Edward </ recipientName >

< recipientCRDNumber > 4342552 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > William Schertz </ recipientName >

< recipientCRDNumber > 1923047 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Hauptman </ recipientName >

< recipientCRDNumber > 2749100 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St </ street1 >

< street2 > #900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VT </ state >

< description > VERMONT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Cohen </ recipientName >

< recipientCRDNumber > 2400506 </ recipientCRDNumber >

< associatedBDName > Kestra </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5707 SW Pkwy </ street1 >

< street2 > Bldg 2 Ste 400 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78735 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kevin P. Kelly </ recipientName >

< recipientCRDNumber > 1018494 </ recipientCRDNumber >

< associatedBDName > UBS </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1000 & 1200 Lincoln Harbor Blvd </ street1 >

< city > Weehawken </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07086 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sara Roth </ recipientName >

< recipientCRDNumber > 3094272 </ recipientCRDNumber >

< associatedBDName > UBS </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 525 Okeechobee Blvd </ street1 >

< street2 > Suite 1500 </ street2 >

< city > West Palm Beach </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ned Lubell </ recipientName >

< recipientCRDNumber > 2449026 </ recipientCRDNumber >

< associatedBDName > UBS </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 525 Okeechobee Blvd </ street1 >

< street2 > Suite 1500 </ street2 >

< city > West Palm Beach </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Fulton </ recipientName >

< recipientCRDNumber > 2481439 </ recipientCRDNumber >

< associatedBDName > UBS </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 525 Okeechobee Blvd </ street1 >

< street2 > Suite 1500 </ street2 >

< city > West Palm Beach </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Suzette Clark </ recipientName >

< recipientCRDNumber > 3153620 </ recipientCRDNumber >

< associatedBDName > Lockton </ associatedBDName >

< associatedBDCRDNumber > 137476 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 444 W 47th Street </ street1 >

< city > Kansas City </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 64112 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > George Blaha </ recipientName >

< recipientCRDNumber > 1611833 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 W Wisconsin Ave </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gavin Blaha </ recipientName >

< recipientCRDNumber > 6305001 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 W Wisconsin Ave </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Garrett Blaha </ recipientName >

< recipientCRDNumber > 6193865 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 W Wisconsin Ave </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ed Kilpatrick </ recipientName >

< recipientCRDNumber > 4384557 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 W Wisconsin Ave </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jaclyn Guthmiller </ recipientName >

< recipientCRDNumber > 4857939 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 W Wisconsin Ave </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian Donofry </ recipientName >

< recipientCRDNumber > 2820997 </ recipientCRDNumber >

< associatedBDName > Kestra </ associatedBDName >

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5707 Southwest Pkwy </ street1 >

< street2 > Bldg 2 Ste 400 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78735 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott McGee </ recipientName >

< recipientCRDNumber > 4768668 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd </ street1 >

< street2 > #200 </ street2 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Troy DeBord </ recipientName >

< recipientCRDNumber > 4586464 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 925 4th Ave </ street1 >

< street2 > #3100 </ street2 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Curt Burris </ recipientName >

< recipientCRDNumber > 2751954 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities </ associatedBDName >

< associatedBDCRDNumber > 2972 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd </ street1 >

< street2 > #200 </ street2 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Larry Deatherage </ recipientName >

< recipientCRDNumber > 2205503 </ recipientCRDNumber >

< associatedBDName > Triad Advisors </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 15615 Alston Pkwy </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Phillip Currie </ recipientName >

< recipientCRDNumber > 1942837 </ recipientCRDNumber >

< associatedBDName > Valmark Securities </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 600 36th St </ street1 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92663 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Thomas Cook </ recipientName >

< recipientCRDNumber > 5577551 </ recipientCRDNumber >

< associatedBDName > Capacuity Securities </ associatedBDName >

< associatedBDCRDNumber > 15384 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 International Pkwy #350 </ street1 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey Gratton </ recipientName >

< recipientCRDNumber > 3193174 </ recipientCRDNumber >

< associatedBDName > Cetera </ associatedBDName >

< associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 206 Minetonka Ave S </ street1 >

< city > Wayzata </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55391 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Andrew Arigo </ recipientName >

< recipientCRDNumber > 2949837 </ recipientCRDNumber >

< associatedBDName > Newport </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd </ street1 >

< street2 > #200 </ street2 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bryant Kirk </ recipientName >

< recipientCRDNumber > 1049653 </ recipientCRDNumber >

< associatedBDName > Capacuity </ associatedBDName >

< associatedBDCRDNumber > 15384 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 36th St </ street1 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92663 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Chepenik </ recipientName >

< recipientCRDNumber > 2559515 </ recipientCRDNumber >

< associatedBDName > Triad </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 156 Alton Pkwy </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brady Dall </ recipientName >

< recipientCRDNumber > 5582011 </ recipientCRDNumber >

< associatedBDName > Triad </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 156 Alton Pkwy </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92618 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen Karam </ recipientName >

< recipientCRDNumber > 2204088 </ recipientCRDNumber >

< associatedBDName > LPL </ associatedBDName >

< associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4707 Executive Dr </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92121 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Hinderstein </ recipientName >

< recipientCRDNumber > 1543886 </ recipientCRDNumber >

< associatedBDName > Triad </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4 West Red Oak Lane </ street1 >

< city > White Plains </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10604 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ian Franke </ recipientName >

< recipientCRDNumber > 5036953 </ recipientCRDNumber >

< associatedBDName > FAS Corp </ associatedBDName >

< associatedBDCRDNumber > 43536 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4747 W 135th St </ street1 >

< city > Leawood </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66224 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Pontius </ recipientName >

< recipientCRDNumber > 7255881 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 W Wisconsin Ave </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jon Strickland </ recipientName >

< recipientCRDNumber > 4517966 </ recipientCRDNumber >

< associatedBDName > CapFinancial </ associatedBDName >

< associatedBDCRDNumber > 126291 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4208 Six Forks Rd #1700 </ street1 >

< city > Raleigh </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27609 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gordon Chisholm </ recipientName >

< recipientCRDNumber > 2938261 </ recipientCRDNumber >

< associatedBDName > Valmark </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 130 SpringSide Dr </ street1 >

< city > Akron </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44333 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kenneth DePaola </ recipientName >

< recipientCRDNumber > 6312756 </ recipientCRDNumber >

< associatedBDName > Valmark </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 130 SpringSide Dr </ street1 >

< city > Akron </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44333 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey Cullen </ recipientName >

< recipientCRDNumber > 4408760 </ recipientCRDNumber >

< associatedBDName > LPL </ associatedBDName >

< associatedBDCRDNumber > 6413 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1055 LPL Way </ street1 >

< city > Fort Mill </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29715 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Shawn Besser </ recipientName >

< recipientCRDNumber > 5907215 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sam Sheth </ recipientName >

< recipientCRDNumber > 2511571 </ recipientCRDNumber >

< associatedBDName > FAS Corp </ associatedBDName >

< associatedBDCRDNumber > 43536 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4747 W 135th St </ street1 >

< city > Leawood </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66224 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Rick Callister </ recipientName >

< recipientCRDNumber > 3185802 </ recipientCRDNumber >

< associatedBDName > FAS Corp </ associatedBDName >

< associatedBDCRDNumber > 43536 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4747 W 135th St </ street1 >

< city > Leawood </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 66224 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jonathan Resin </ recipientName >

< recipientCRDNumber > 2308703 </ recipientCRDNumber >

< associatedBDName > RBC Wealth Mgmt </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 60 S Sixth St </ street1 >

< city > Minneapolis </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Phillip Hammitt </ recipientName >

< recipientCRDNumber > 2409244 </ recipientCRDNumber >

< associatedBDName > RBC Wealth Mgmt </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 60 S Sixth St </ street1 >

< city > Minneapolis </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bruce Brownell </ recipientName >

< recipientCRDNumber > 1779959 </ recipientCRDNumber >

< associatedBDName > Lion Street </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 515 Congress Ave #2500 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kevin E. Kelly </ recipientName >

< recipientCRDNumber > 4585056 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd #200 </ street1 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Edward Lubell </ recipientName >

< recipientCRDNumber > 2449026 </ recipientCRDNumber >

< associatedBDName > UBS </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 525 Okeechobee Blvd </ street1 >

< street2 > Suite 1500 </ street2 >

< city > West Palm Beach </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MI </ state >

< description > MICHIGAN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian Wiese </ recipientName >

< recipientCRDNumber > 4592406 </ recipientCRDNumber >

< associatedBDName > Wells Fargo </ associatedBDName >

< associatedBDCRDNumber > 19616 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 13215 Bee Cave Pkwy </ street1 >

< street2 > Bldg A #150 </ street2 >

< city > Bee Cave </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78738 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mike Stevens </ recipientName >

< recipientCRDNumber > 4946009 </ recipientCRDNumber >

< associatedBDName > Newport Group Securities </ associatedBDName >

< associatedBDCRDNumber > 29722 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd #200 </ street1 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Angela Patterson </ recipientName >

< recipientCRDNumber > 2474628 </ recipientCRDNumber >

< associatedBDName > First Palladium </ associatedBDName >

< associatedBDCRDNumber > 289822 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 888 S Harrison </ street1 >

< street2 > Suite 900 </ street2 >

< city > Fort Wayne </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46802 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > William Chatfield </ recipientName >

< recipientCRDNumber > 1053051 </ recipientCRDNumber >

< associatedBDName > J Alden </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 43 S Main St </ street1 >

< city > Doylestown </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian Sheldon </ recipientName >

< recipientCRDNumber > 4709079 </ recipientCRDNumber >

< associatedBDName > J Alden </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 43 S Main St </ street1 >

< city > Doylestown </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Dan Barbaree </ recipientName >

< recipientCRDNumber > 5610612 </ recipientCRDNumber >

< associatedBDName > J Alden </ associatedBDName >

< associatedBDCRDNumber > 40002 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 43 S Main St </ street1 >

< city > Doylestown </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Vince Jenkins </ recipientName >

< recipientCRDNumber > 5124874 </ recipientCRDNumber >

< associatedBDName > Executive Services Securities </ associatedBDName >

< associatedBDCRDNumber > 25299 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3445 Peachtree Rd NE </ street1 >

< street2 > Suite 200 </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30326 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeremy W. Yanasak </ recipientName >

< recipientCRDNumber > 3186728 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 925 4th Avenue </ street1 >

< city > Seattle </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Howard E. Sharfman </ recipientName >

< recipientCRDNumber > 1753378 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 500 W Madison Street </ street1 >

< street2 > 32nd Floor </ street2 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60661 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel J. Wagner </ recipientName >

< recipientCRDNumber > 2653222 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel B. Barry </ recipientName >

< recipientCRDNumber > 2734252 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 42046 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5707 Southwest Pkwy </ street1 >

< street2 > Bldg 2 Suite 400 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78735 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kristin L. Barens </ recipientName >

< recipientCRDNumber > 1859496 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard D. Mack </ recipientName >

< recipientCRDNumber > 1476655 </ recipientCRDNumber >

< associatedBDName > The Leaders Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 37157 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 26 W. Dry Creek Circle </ street1 >

< city > Littleton </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80120 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jacob Bosacki </ recipientName >

< recipientCRDNumber > 6033634 </ recipientCRDNumber >

< associatedBDName > Lion Street Financial, LLC </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 515 Congress Avenue </ street1 >

< street2 > Suite 2500 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ari D. Fischman </ recipientName >

< recipientCRDNumber > 4571478 </ recipientCRDNumber >

< associatedBDName > Lion Street Financial, LLC </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 515 Congress Avenue </ street1 >

< street2 > Suite 2500 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James S. Bosley </ recipientName >

< recipientCRDNumber > 4498362 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Erik K. Tappin </ recipientName >

< recipientCRDNumber > 2752579 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5976 Armada Drive </ street1 >

< street2 > #200 </ street2 >

< city > Carlsbad </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92008 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > LeeAnn M. Swider </ recipientName >

< recipientCRDNumber > 2839832 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch Street </ street1 >

< street2 > Suite 900 </ street2 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Eric P. Rader </ recipientName >

< recipientCRDNumber > 1035982 </ recipientCRDNumber >

< associatedBDName > LionStreet </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Colorado St, Ste 2600 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Justin Gladieux </ recipientName >

< recipientCRDNumber > 5573418 </ recipientCRDNumber >

< associatedBDName > LionStreet </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Colorado St, Ste 2600 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael R. Ori </ recipientName >

< recipientCRDNumber > 5598221 </ recipientCRDNumber >

< associatedBDName > LionStreet </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Colorado St, Ste 2600 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Maureen E. Pontius </ recipientName >

< recipientCRDNumber > 6726393 </ recipientCRDNumber >

< associatedBDName > Northwestern Mutual Investment </ associatedBDName >

< associatedBDCRDNumber > 2881 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 720 East Wisconsin Avenue </ street1 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ME </ state >

< description > MAINE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Noel C. Culberson </ recipientName >

< recipientCRDNumber > 2664860 </ recipientCRDNumber >

< associatedBDName > Ascensus Broker Dealer </ associatedBDName >

< associatedBDCRDNumber > 36478 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > PO Box 187 </ street1 >

< city > Fort Washington </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kristy T. Tochihara </ recipientName >

< recipientCRDNumber > 1653106 </ recipientCRDNumber >

< associatedBDName > Wells Fargo Advisors </ associatedBDName >

< associatedBDCRDNumber > 11025 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 N Jefferson Ave </ street1 >

< city > St Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lucia Rita Fiumara </ recipientName >

< recipientCRDNumber > 2844301 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 315 Deaderick St. 5th Floor </ street1 >

< city > Nashville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37238 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David E. Creasey </ recipientName >

< recipientCRDNumber > 2569014 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 315 Deaderick St. 5th Floor </ street1 >

< city > Nashville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37238 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Whitney Randolph </ recipientName >

< recipientCRDNumber > 5032676 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 315 Deaderick St. 5th Floor </ street1 >

< city > Nashville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37238 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael D. Shannon </ recipientName >

< recipientCRDNumber > 1314743 </ recipientCRDNumber >

< associatedBDName > Ascensus Broker Dealer Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 36478 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Primera Blvd Ste 200 </ street1 >

< city > Lake Mary </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32746 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christopher H. Nyland </ recipientName >

< recipientCRDNumber > 1613008 </ recipientCRDNumber >

< associatedBDName > Valmark securities inc </ associatedBDName >

< associatedBDCRDNumber > 31243 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 130 Springdale Dr. Ste 300 </ street1 >

< city > Akron </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44333 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stephen D. Mann </ recipientName >

< recipientCRDNumber > 2952211 </ recipientCRDNumber >

< associatedBDName > Osaic Wealth Inc </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18700 N Hayden Rd Ste 255 </ street1 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85255 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ryan J. Hemker </ recipientName >

< recipientCRDNumber > 4365891 </ recipientCRDNumber >

< associatedBDName > M Holdings Securities Inc </ associatedBDName >

< associatedBDCRDNumber > 43285 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1125 NW Couch St </ street1 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97209 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 2068313138 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 83 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 0 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Sales comp paid by Ins. Co. out of its own resources. The Company periodically deducts ins. & other contract charges from amounts allocated to the separate account issuer in accordance with the terms of the applicable variable life ins contract. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse > No gross premiums received under VUL contracts have been or are proposed to be used for pymnts to promoter. Ins Co periodically deducts ins & other contract charges from amnts allocated to separate account issuer under terms of applicable VUL contracts. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Protective COLI PPVUL </ issuerName >

< signatureName > /s/ Brandon J. Cage </ signatureName >

< nameOfSigner > Brandon J. Cage </ nameOfSigner >

< signatureTitle > VP & Managing Counsel </ signatureTitle >

< signatureDate > 2025-10-27 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >