Form D Raw Data - Electronic Filing Depository

EFDID: 468391EFD: Raw Data

Issuer: JLLX West Phoenix Distribution Center DST (0001958148) - D/A

Accession: 0001958148-23-000005 () (EDGAR Files) (Form D)

Edgar Posted: Jul. 6, 2023
EFD Posted: Jul. 6, 2023

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001958148 </ cik >

< entityName > JLLX West Phoenix Distribution Center DST </ entityName >

- < issuerAddress >

< street1 > 333 WEST WACKER DRIVE, SUITE 2300 </ street1 >

< city > CHICAGO </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 312-897-4000 </ 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 > 2022 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > JLL Exchange TRS, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 333 West Wacker Drive, Suite 2300 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Sponsor of Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > LaSalle Investment Management, Inc. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 333 West Wacker Drive, Suite 2300 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Sponsor of Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Gregory </ firstName >

< middleName > A. </ middleName >

< lastName > Falk </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 333 West Wacker Drive, Suite 2300 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > LIPT Reems Road, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 333 West Wacker Drive, Suite 2300 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Real Estate </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001958148-23-000004 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2022-12-08 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 75000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > LaSalle Investment Management Distributors, LLC </ recipientName >

< recipientCRDNumber > 157625 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 333 West Wacker Drive, Suite 2300 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTINA NIELSON </ recipientName >

< recipientCRDNumber > 4866971 </ recipientCRDNumber >

< associatedBDName > DAI SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 650 Town Center Drive, Suite 1400 </ street1 >

< city > Costa Mesa </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > WILLIAM PATRICK BRENNAN </ recipientName >

< recipientCRDNumber > 3090544 </ recipientCRDNumber >

< associatedBDName > INDEPENDENT FINANCIAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8910 University Center Lane, STE 150 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

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< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOSEPH P WERNER </ recipientName >

< recipientCRDNumber > 6645379 </ recipientCRDNumber >

< associatedBDName > LaSalle Investment Management Distributors, LLC </ associatedBDName >

< associatedBDCRDNumber > 157625 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 333 West Wacker Drive, Suite 2300 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KAREN LESLIE VARNHAGEN </ recipientName >

< recipientCRDNumber > 1144429 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 555 California Street </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MT </ state >

< description > MONTANA </ description >

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< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

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< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TRACY BIRD </ recipientName >

< recipientCRDNumber > 4147085 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 55 East 52nd Street, 29th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10055 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > PR </ state >

< description > PUERTO RICO </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DAVID ROBERT ESHAM </ recipientName >

< recipientCRDNumber > 2215529 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 West Market Street, Suite 301 </ street1 >

< city > Salisbury </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 21801 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > PIOTR G GALUS </ recipientName >

< recipientCRDNumber > 5215429 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1200 Mount Kemble Avenue, Floor 2 </ street1 >

< city > Morristown </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07960 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > PAUL WARREN JACKSON </ recipientName >

< recipientCRDNumber > 2998795 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 500 108th Avenue, North East, Suite 1900 </ street1 >

< city > Bellevue </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BENJAMIN WILLEY </ recipientName >

< recipientCRDNumber > 6131772 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2727 Hollycroft Street, Suite 330 </ street1 >

< city > Gig Harbor </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98335 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CYNTHIA MARY COUYOUMJIAN </ recipientName >

< recipientCRDNumber > 1456630 </ recipientCRDNumber >

< associatedBDName > INDEPENDENT FINANCIAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 15145 Woodlawn Avenue, Suite 100 </ street1 >

< city > Tustin </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92780 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > FRANK COULSON III </ recipientName >

< recipientCRDNumber > 3100920 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 Front Street, Suite 600 </ street1 >

< city > West Conshohocken </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19428 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEVIN HUNTINGTON </ recipientName >

< recipientCRDNumber > 5934354 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1650 Market Street, 42nd Floor </ street1 >

< city > Philadelphia </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > PAULINA MATEL </ recipientName >

< recipientCRDNumber > 6125677 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 14977 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 227 West Monroe Street, Suite 3400 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RICHARD GRUND </ recipientName >

< recipientCRDNumber > 2284738 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2200 North Commerce Parkway, Suite 202 </ street1 >

< city > Weston </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33326 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MICHELLE VIZZI </ recipientName >

< recipientCRDNumber > 4780371 </ recipientCRDNumber >

< associatedBDName > INDEPENDENT FINANCIAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1520 N EL Camino Real, Unit 1 </ street1 >

< city > San Clemente </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92672 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > SCOTT MACHEN </ recipientName >

< recipientCRDNumber > 4578808 </ recipientCRDNumber >

< associatedBDName > INDEPENDENT FINANCIAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2377 Gold Meadow Way, Suite 176 </ street1 >

< city > Gold River </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95670 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DAVID JENNINGS </ recipientName >

< recipientCRDNumber > 2843403 </ recipientCRDNumber >

< associatedBDName > JANNEY MONTGOMERY SCOTT LLC </ associatedBDName >

< associatedBDCRDNumber > 463 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1021 E. Cary St., Two James Center </ street1 >

< street2 > Suite 1000 </ street2 >

< city > Richmond </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23219 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > LENORE DUNLOP </ recipientName >

< recipientCRDNumber > 7029219 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2825 N. University Drive, Suite 400 </ street1 >

< city > Coral Springs </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33065 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > GARY R BERGERON </ recipientName >

< recipientCRDNumber > 5703575 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 Middle Street </ street1 >

< city > Portland </ city >

< stateOrCountry > ME </ stateOrCountry >

< stateOrCountryDescription > MAINE </ stateOrCountryDescription >

< zipCode > 04101 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DOUGLAS M DIRKS </ recipientName >

< recipientCRDNumber > 4068542 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8300 Norman Center Drive </ street1 >

< city > Bloomington </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55437 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > THOMAS RISHOVD </ recipientName >

< recipientCRDNumber > 2572728 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 225 South 6th Street </ street1 >

< city > Minneapolis </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > HEATHER REED </ recipientName >

< recipientCRDNumber > 5813143 </ recipientCRDNumber >

< associatedBDName > RBC CAPITAL MARKETS LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 975 Oak Street, Suite 450 </ street1 >

< city > Eugene </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97401-3131 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTOPHER MICHAEL VIZZI </ recipientName >

< recipientCRDNumber > 5095868 </ recipientCRDNumber >

< associatedBDName > INDEPENDENT FINANCIAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1520 N EL Camino Real, Unit 1 </ street1 >

< city > San Clemente </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92672 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > EDWARD CHRISTIAN GRUBER </ recipientName >

< recipientCRDNumber > 4369042 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1520 N EL Camino Real, Unit 1 </ street1 >

< city > San Clemente </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92672 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JASON BURKETT </ recipientName >

< recipientCRDNumber > 4788149 </ recipientCRDNumber >

< associatedBDName > RBC CAPITAL MARKETS LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3491 East Harmony Road, Suite 210 </ street1 >

< city > Fort Collins </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80528-9669 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOHN PRINCE </ recipientName >

< recipientCRDNumber > 2138970 </ recipientCRDNumber >

< associatedBDName > RBC CAPITAL MARKETS LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1901 Avenue Of The Stars, Suite 1400 </ street1 >

< city > Century City </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067-6089 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RUSSELL DYER </ recipientName >

< recipientCRDNumber > 5439930 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1701 Southeast Columbia River Drive </ street1 >

< street2 > Suite 120 </ street2 >

< city > Vancouver </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98661 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KURT NEDDENRIEP </ recipientName >

< recipientCRDNumber > 2723394 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 905 Railroad Street, Suite 102 </ street1 >

< city > Elko </ city >

< stateOrCountry > NV </ stateOrCountry >

< stateOrCountryDescription > NEVADA </ stateOrCountryDescription >

< zipCode > 89801 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BRUCE HOROWITZ </ recipientName >

< recipientCRDNumber > 1333901 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6767 Forest Lawn Drive, Suite 120 </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90068-1027 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JAMIE FURLONG </ recipientName >

< recipientCRDNumber > 6930080 </ recipientCRDNumber >

< associatedBDName > CONCORDE INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1906 21st Street </ street1 >

< city > Sacramento </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95811 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHARLES NORWOOD </ recipientName >

< recipientCRDNumber > 4497456 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3500 Colonnade Parkway, Suite 200 </ street1 >

< city > Birmingham </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35243 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOHN CODY MOORE </ recipientName >

< recipientCRDNumber > 5861459 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 340 Broadway, 2nd Floor </ street1 >

< city > Saratoga Springs </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 12866 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JONATHAN KLEIN </ recipientName >

< recipientCRDNumber > 5526972 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1290 Avenue of the Americas </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10104 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JUNGSUN MCCUBBIN </ recipientName >

< recipientCRDNumber > 5279260 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2800 Post Oak Boulevard, 18th Floor </ street1 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEITH SMITH </ recipientName >

< recipientCRDNumber > 4944329 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 36 East Streetsboro Street </ street1 >

< city > Hudson </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44236 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEVIN TARRANT </ recipientName >

< recipientCRDNumber > 5377123 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1101 5th Avenue, Suite 275 </ street1 >

< city > San Rafael </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94901 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > LORING BROWN </ recipientName >

< recipientCRDNumber > 2120640 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5565 Glenridge Connector, Suite 1900 </ street1 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30342 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TODD WETZEL </ recipientName >

< recipientCRDNumber > 2108953 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1 Technology Drive </ street1 >

< city > Westborough </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01581 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOHN STOMBERGER </ recipientName >

< recipientCRDNumber > 2165327 </ recipientCRDNumber >

< associatedBDName > ROBERT W BAIRD & CO INC </ associatedBDName >

< associatedBDCRDNumber > 8158 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 328 West Main Street </ street1 >

< city > Danville </ city >

< stateOrCountry > KY </ stateOrCountry >

< stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >

< zipCode > 40422 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEITH LOCKWOOD </ recipientName >

< recipientCRDNumber > 4141838 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 724 Columbia Street Northwest, Suite 350 </ street1 >

< city > Olympia </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98501 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KERRI SULLIVAN-KREISS </ recipientName >

< recipientCRDNumber > 2141713 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1700 West Park Drive, Suite 340 </ street1 >

< city > Westborough </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01581 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BRYAN WHITE </ recipientName >

< recipientCRDNumber > 2711387 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 112 Worcester Street </ street1 >

< city > Wellesley </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02481 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > J SCOTT MILLER </ recipientName >

< recipientCRDNumber > 4488259 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4350 La Jolla Village Drive, Suite 1000 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JASON HARRIS </ recipientName >

< recipientCRDNumber > 2388244 </ recipientCRDNumber >

< associatedBDName > ROBERT W BAIRD & CO INC </ associatedBDName >

< associatedBDCRDNumber > 8158 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 W. Road, Suite 200 </ street1 >

< city > Towson </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 21204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JEREMY O'BRIEN </ recipientName >

< recipientCRDNumber > 2354870 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 58 South Service Road, Suite 400 </ street1 >

< city > Melville </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11747 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTOPHER ROCKWELL </ recipientName >

< recipientCRDNumber > 6089387 </ recipientCRDNumber >

< associatedBDName > JANNEY MONTGOMERY SCOTT LLC </ associatedBDName >

< associatedBDCRDNumber > 463 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Two Franklin Park, 6700 Tower Circle </ street1 >

< street2 > Ste. 200 </ street2 >

< city > Franklin </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > J BRADLEY RAUCH </ recipientName >

< recipientCRDNumber > 2473544 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 50 Fountain Plaza, Key Tower North </ street1 >

< city > Buffalo </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 14202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JEREMY BISCEGLIA </ recipientName >

< recipientCRDNumber > 5083500 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2000 Meridian Boulevard, Suite 290 </ street1 >

< city > Franklin </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RYAN BOONE </ recipientName >

< recipientCRDNumber > 3095956 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1301 A Street, Suite 300 </ street1 >

< city > Tacoma </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > SEAN WHALEN </ recipientName >

< recipientCRDNumber > 4000934 </ recipientCRDNumber >

< associatedBDName > CONCORDE INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 24 Superior Dr., Suite 101 </ street1 >

< city > Natick </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01760 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MATTHEW ANDERSON </ recipientName >

< recipientCRDNumber > 4783763 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1617 North Waterfront Parkway, Suite 200 </ street1 >

< city > Wichita </ city >

< stateOrCountry > KS </ stateOrCountry >

< stateOrCountryDescription > KANSAS </ stateOrCountryDescription >

< zipCode > 67206 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DANIEL RAUPP </ recipientName >

< recipientCRDNumber > 4079107 </ recipientCRDNumber >

< associatedBDName > CONCORDE INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 61 Route 25A </ street1 >

< city > Setauket </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11733 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > IA </ state >

< description > IOWA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > MT </ state >

< description > MONTANA </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > KS </ state >

< description > KANSAS </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JEFFERY STEWART </ recipientName >

< recipientCRDNumber > 4371610 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2303 SE 17th Street, Suite 100 </ street1 >

< city > Ocala </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 34471 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > WILLIAM CHRISTIAN </ recipientName >

< recipientCRDNumber > 2930040 </ recipientCRDNumber >

< associatedBDName > ROCKEFELLER FINANCIAL LLC </ associatedBDName >

< associatedBDCRDNumber > 291361 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 First Stamford Place, Suite 230 </ street1 >

< city > Stamford </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06902 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MARTI MARACHE </ recipientName >

< recipientCRDNumber > 2393657 </ recipientCRDNumber >

< associatedBDName > SANCTUARY SECURITIES INC </ associatedBDName >

< associatedBDCRDNumber > 205 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 40 Signal Rd., Suite A </ street1 >

< city > Stamford </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06902 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 146515397 </ totalOfferingAmount >

< totalAmountSold > 133557987 </ totalAmountSold >

< totalRemaining > 12957410 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 87 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 10256078 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 11515397 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > JLLX West Phoenix Distribution Center DST </ issuerName >

< signatureName > Gregory A. Falk </ signatureName >

< nameOfSigner > Gregory A. Falk </ nameOfSigner >

< signatureTitle > Vice President of the Signatory Trustee </ signatureTitle >

< signatureDate > 2023-06-28 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >