Form D Raw Data - Electronic Filing Depository

EFDID: 478153EFD: Raw Data

Issuer: JLLX Ardenwood II, DST (0001966560) - D/A

Accession: 0001966560-23-000006 () (EDGAR Files) (Form D)

Edgar Posted: Sep. 5, 2023
EFD Posted: Sep. 5, 2023

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001966560 </ cik >

< entityName > JLLX Ardenwood II, 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 > 2023 </ 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 >

</ 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 > 0001966560-23-000005 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2023-04-24 </ 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 > 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 > PATRICK EASTER </ recipientName >

< recipientCRDNumber > 1368137 </ recipientCRDNumber >

< associatedBDName > RBC CAPITAL MARKETS LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 West 6th Street, Suite 2200 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701-3912 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > KS </ state >

< description > KANSAS </ 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 > MA </ state >

< description > MASSACHUSETTS </ description >

< state > LA </ state >

< description > LOUISIANA </ 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 > 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 > JASON MCMURTRY </ recipientName >

< recipientCRDNumber > 2871788 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 E. San Marcos Blvd., Suite 400 </ street1 >

< city > San Marcos </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92069 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > IL </ state >

< description > ILLINOIS </ 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 > AK </ state >

< description > ALASKA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ 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 > ID </ state >

< description > IDAHO </ 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 > JAMES BASHAW </ recipientName >

< recipientCRDNumber > 1251491 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 7177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5701 Woodway Drive #330 </ street1 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77057 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > CO </ state >

< description > COLORADO </ 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 > 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 > KYLE CAVANAUGH </ recipientName >

< recipientCRDNumber > 6313953 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 15341 South 94th Avenue, Suite 200 </ street1 >

< city > Orland Park </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60462 </ 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 > WI </ state >

< description > WISCONSIN </ 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 > 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 > KS </ state >

< description > KANSAS </ description >

< state > AK </ state >

< description > ALASKA </ description >

< state > AL </ state >

< description > ALABAMA </ 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 > VT </ state >

< description > VERMONT </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MICHAEL LATIMER </ recipientName >

< recipientCRDNumber > 2893154 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3909 Castlevale Road, Suite 100 </ street1 >

< city > Yakima </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98902 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RICHARD NELSON </ recipientName >

< recipientCRDNumber > 4320851 </ 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 > 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 > 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 > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ 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 > 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 > TN </ state >

< description > TENNESSEE </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > NM </ state >

< description > NEW MEXICO </ 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 > WILLIAM MUNDY </ recipientName >

< recipientCRDNumber > 4199804 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 899 Cassatt Road, Suite 100 </ street1 >

< city > Berwyn </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19312 </ 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 > 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 > MI </ state >

< description > MICHIGAN </ 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 > 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 > NC </ state >

< description > NORTH CAROLINA </ 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 > 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 >

- < recipient >

< recipientName > MICHAEL EDMONDS </ recipientName >

< recipientCRDNumber > 6233223 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2400 Lakeview Parkway, Suite 300 </ street1 >

< city > Alpharetta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30009 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > SUSAN HOVANEC </ recipientName >

< recipientCRDNumber > 1969275 </ recipientCRDNumber >

< associatedBDName > RBC CAPITAL MARKETS LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2100 Pennsylvania Avenue NW, Suite 810N </ street1 >

< city > Washington </ city >

< stateOrCountry > DC </ stateOrCountry >

< stateOrCountryDescription > DISTRICT OF COLUMBIA </ stateOrCountryDescription >

< zipCode > 20037 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ 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 > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ 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 >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > EHUD GERSTEN </ recipientName >

< recipientCRDNumber > 7066119 </ recipientCRDNumber >

< associatedBDName > EMERSON EQUITY LLC </ associatedBDName >

< associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7750 Okeechobee Blvd, Suite 4-1294 </ street1 >

< city > West Palm Beach </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33411 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ 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 > MT </ state >

< description > MONTANA </ 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 > CT </ state >

< description > CONNECTICUT </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > NE </ state >

< description > NEBRASKA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DANIEL RUBEN </ recipientName >

< recipientCRDNumber > 5716704 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 7177 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5716 Corsa Avenue, Suite 100 </ street1 >

< city > Westlake Village </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91362 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KELLY H CLYDE </ recipientName >

< recipientCRDNumber > 4825839 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 7177 </ 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 > 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 > MD </ state >

< description > MARYLAND </ 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 > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ 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 > NE </ state >

< description > NEBRASKA </ 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 > JASON BENTLEY </ recipientName >

< recipientCRDNumber > 7064127 </ recipientCRDNumber >

< associatedBDName > JANNEY MONTGOMERY SCOTT LLC </ associatedBDName >

< associatedBDCRDNumber > 463 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12001 Old Vine Blvd., Unit #106 </ street1 >

< city > Lewes </ city >

< stateOrCountry > DE </ stateOrCountry >

< stateOrCountryDescription > DELAWARE </ stateOrCountryDescription >

< zipCode > 19958 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KURT EVAN MEYER </ recipientName >

< recipientCRDNumber > 1563445 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 14850 North Scottsdale Road, Suite 600 </ street1 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85254 </ 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 > 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 > 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 > AK </ state >

< description > ALASKA </ 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 > 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 > MICHAEL YEN </ recipientName >

< recipientCRDNumber > 4248591 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 800 Newport Center Drive, Suite 500 </ street1 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ description >

< state > HI </ state >

< description > HAWAII </ 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 > NY </ state >

< description > NEW YORK </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > LA </ state >

< description > LOUISIANA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ 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 > STEPHEN BARTOLI </ recipientName >

< recipientCRDNumber > 4005464 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 214 Senate Avenue </ street1 >

< city > Camp Hill </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 17011 </ 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 > 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 > 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 > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ 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 > 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 > Brian Addington </ recipientName >

< recipientCRDNumber > 2882035 </ recipientCRDNumber >

< associatedBDName > RBC Capital Markets LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 345 California Street </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94104-2642 </ 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 > SD </ state >

< description > SOUTH DAKOTA </ 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 > CA </ state >

< description > CALIFORNIA </ 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 > KS </ state >

< description > KANSAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Caleb Sams </ recipientName >

< recipientCRDNumber > 7159458 </ recipientCRDNumber >

< associatedBDName > Commonwealth Financial Network </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5409 Maryland Way, Suite 110 </ street1 >

< city > Brentwood </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37027 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > AL </ state >

< description > ALABAMA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Carlos Duque </ recipientName >

< recipientCRDNumber > 5607485 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6565 Americas Parkway, Suite 400 </ street1 >

< city > Albuquerque </ city >

< stateOrCountry > NM </ stateOrCountry >

< stateOrCountryDescription > NEW MEXICO </ stateOrCountryDescription >

< zipCode > 87110 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > WI </ state >

< description > WISCONSIN </ 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 > 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 > Christopher Michael Vizzi </ recipientName >

< recipientCRDNumber > 5095868 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1520 N El Comino 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 > Christian Finley </ recipientName >

< recipientCRDNumber > 7036835 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ 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 > 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 > 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 > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ 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 > 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 > NE </ state >

< description > NEBRASKA </ 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 > Christopher Dolt </ recipientName >

< recipientCRDNumber > 4158560 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 444 East Main Street, Suite 111 </ street1 >

< city > Lexington </ city >

< stateOrCountry > KY </ stateOrCountry >

< stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >

< zipCode > 40507 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< 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 > WI </ state >

< description > WISCONSIN </ 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 > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MS </ state >

< description > MISSISSIPPI </ 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 > 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 > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Leifer </ recipientName >

< recipientCRDNumber > 1558612 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2 North Tamiami Trail, Suite 1100 </ street1 >

< city > Sarasota </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 34236 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ 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 > 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 > 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 > 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 > Ernest Dean Jr. </ recipientName >

< recipientCRDNumber > 2223858 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2 North Tamiami Trail, Suite 1100 </ street1 >

< city > Sarasota </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 34236 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ 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 > 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 > 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 > 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 >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kay Pfleghardt </ recipientName >

< recipientCRDNumber > 6225691 </ recipientCRDNumber >

< associatedBDName > Commonwealth Financial Network </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 345 Woodcliff Drive, Suite 2A </ street1 >

< city > Fairport </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 14450 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NY </ state >

< description > NEW YORK </ 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 > GA </ state >

< description > GEORGIA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kevin Kensinger </ recipientName >

< recipientCRDNumber > 5859757 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 E. San Marcos Blvd., Suite 400 </ street1 >

< city > San Marcos </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92069 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ 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 > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > CA </ state >

< description > CALIFORNIA </ 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 > Matthew Lacour </ recipientName >

< recipientCRDNumber > 5244881 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 850 South Palafox Street, Suite 200 </ street1 >

< city > Pensacola </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 32502 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > KS </ state >

< description > KANSAS </ 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 > LA </ state >

< description > LOUISIANA </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ 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 > OK </ state >

< description > OKLAHOMA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Paul Leach </ recipientName >

< recipientCRDNumber > 4952675 </ recipientCRDNumber >

< associatedBDName > Rockefeller Financial LLC </ associatedBDName >

< associatedBDCRDNumber > 291361 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2000 Avenue of the Stars, Suite 530 N </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > MO </ state >

< description > MISSOURI </ 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 > KY </ state >

< description > KENTUCKY </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > LA </ state >

< description > LOUISIANA </ 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 > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Peyton Cook </ recipientName >

< recipientCRDNumber > 5135780 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5001 Spring Valley Road, Suite 900W </ street1 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75244 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< 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 > MD </ state >

< description > MARYLAND </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > WY </ state >

< description > WYOMING </ 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 > 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 > 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 > Ryan Rupert </ recipientName >

< recipientCRDNumber > 4242479 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 117 Herald Court, Suite 113 </ street1 >

< city > Punta Gorda </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33950 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ryan Wroblewski </ recipientName >

< recipientCRDNumber > 6158332 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 855 Franklin Avenue </ street1 >

< city > Garden City </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11530 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Zachary Sobel </ recipientName >

< recipientCRDNumber > 4195211 </ recipientCRDNumber >

< associatedBDName > Morgan Stanley </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3801 PGA Boulevard, Suite 700 </ street1 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ 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 > 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 > IL </ state >

< description > ILLINOIS </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > IN </ state >

< description > INDIANA </ 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 > 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 > NJ </ state >

< description > NEW JERSEY </ description >

< state > VT </ state >

< description > VERMONT </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ETHAN LINDBLOOM </ recipientName >

< recipientCRDNumber > 4072349 </ recipientCRDNumber >

< associatedBDName > JANNEY MONTGOMERY SCOTT LLC </ associatedBDName >

< associatedBDCRDNumber > 463 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6241 River Road </ street1 >

< city > Richmond </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23219 </ 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 > WI </ state >

< description > WISCONSIN </ 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 > ID </ state >

< description > IDAHO </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ 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 > AL </ state >

< 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 > NC </ state >

< description > NORTH CAROLINA </ description >

< state > AZ </ state >

< description > ARIZONA </ 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 > IGNACIO MENDIVE </ recipientName >

< recipientCRDNumber > 3261272 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Fawcett Place, 3rd Floor </ street1 >

< city > Greenwich </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06830 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEN ANDERSON </ recipientName >

< recipientCRDNumber > 5471426 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 760 SW 9th Avenue, Suite 2100 </ street1 >

< city > Portland </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97205 </ 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 > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > MD </ state >

< description > MARYLAND </ 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 > 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 > CO </ state >

< description > COLORADO </ 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 > JEREMY SUTTON </ recipientName >

< recipientCRDNumber > 5680461 </ recipientCRDNumber >

< associatedBDName > RBC CAPITAL MARKETS LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 111 S Wacker Drive, Suite 3200 </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60606 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > DE </ state >

< description > DELAWARE </ 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 > NY </ state >

< description > NEW YORK </ 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 > MI </ state >

< description > MICHIGAN </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > WY </ state >

< description > WYOMING </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > CT </ state >

< description > CONNECTICUT </ 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 >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > AMR TENNEY </ recipientName >

< recipientCRDNumber > 5506866 </ recipientCRDNumber >

< associatedBDName > REALIZED FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 400 W. 15th St., Suite 700 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ 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 >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MCKENNA DUNCAN </ recipientName >

< recipientCRDNumber > 7310472 </ recipientCRDNumber >

< associatedBDName > REALIZED FINANCIAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 400 W. 15th St., Suite 700 </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ 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 >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MICHAEL PARIS </ recipientName >

< recipientCRDNumber > 5087636 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10 Cuttermill Road, Suite 302 </ street1 >

< city > Great Neck </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11021 </ 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 > 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 > 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 >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MITCHELL GLICKSMAN </ recipientName >

< recipientCRDNumber > 2580633 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8180 North Hayden Road, Suite D203 </ street1 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85258 </ 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 > 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 > 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 > 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 > 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 > ROY PFLEGER II </ recipientName >

< recipientCRDNumber > 5896655 </ recipientCRDNumber >

< associatedBDName > DAI SECURITIES LLC </ associatedBDName >

< associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 286 Main Street </ street1 >

< city > E Setauket </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11733 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ 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 > VA </ state >

< description > VIRGINIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > KY </ state >

< description > KENTUCKY </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > GA </ state >

< description > GEORGIA </ 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 >

< state > VT </ state >

< description > VERMONT </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > SAM BERARDINO III </ recipientName >

< recipientCRDNumber > 5341920 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 106 Business Park Drive </ street1 >

< city > Utica </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 13502 </ 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 > 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 > 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 > 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 > VT </ state >

< description > VERMONT </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ZAK KOFFLER </ recipientName >

< recipientCRDNumber > 5687935 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3280 Peachtree Road North East, Suite160 </ street1 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30305 </ 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 > 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 > 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 > 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 > 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 > 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 >

< state > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > WADE-MCCALLA PEETE INV GROUP </ recipientName >

< recipientCRDNumber > 2601960 </ recipientCRDNumber >

< associatedBDName > RBC CAPITAL MARKETS LLC </ associatedBDName >

< associatedBDCRDNumber > 31194 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 404 North 31st Street, Suite 300 </ street1 >

< city > Billings </ city >

< stateOrCountry > MT </ stateOrCountry >

< stateOrCountryDescription > MONTANA </ stateOrCountryDescription >

< zipCode > 59101-1211 </ 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 > 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 > 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 > 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 > 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 > 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 > NM </ state >

< description > NEW MEXICO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 56724512 </ totalOfferingAmount >

< totalAmountSold > 50351342 </ totalAmountSold >

< totalRemaining > 6373170 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 81 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 3970716 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 4424512 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > JLLX Ardenwood II, DST </ issuerName >

< signatureName > Gregory A. Falk </ signatureName >

< nameOfSigner > Gregory A. Falk </ nameOfSigner >

< signatureTitle > Vice President of Issuer's Manager </ signatureTitle >

< signatureDate > 2023-08-31 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >