- Amended Small Company Offering and Sale of Securities Without Registration (D/A)
2011年3月16日 - 5:43AM
Edgar (US Regulatory)
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UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.
FORM D
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OMB APPROVAL
OMB Number: 3235-0076
Expires: June 30, 2012
Estimated Average burden hours per response: 4.0
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Notice of Exempt Offering of Securities
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1. Issuer's Identity
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CIK (Filer ID Number)
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Previous Name(s)
x
None
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Entity Type
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0001442128
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o
Corporation
x
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
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Name of Issuer
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UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP
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Jurisdiction of Incorporation/Organization
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DELAWARE
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Year of Incorporation/Organization
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o
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Over Five Years Ago
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x
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Within Last Five Years (Specify Year)
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2008
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o
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Yet to Be Formed
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2. Principal Place of Business and Contact Information
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Name of Issuer
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UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP
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Street Address 1
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Street Address 2
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1301 MUNICIPAL WAY
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SUITE 100
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City
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State/Province/Country
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ZIP/Postal Code
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Phone No. of Issuer
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GRAPEVINE
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TEXAS
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76051
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817-835-0650
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1. Issuer's Identity
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CIK (Filer ID Number)
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Previous Name(s)
x
None
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Entity Type
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0001442125
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o
Corporation
o
Limited Partnership
x
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
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Name of Issuer
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UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC
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Jurisdiction of Incorporation/Organization
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DELAWARE
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Year of Incorporation/Organization
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o
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Yet to Be Formed
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x
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Within Last Five Years (Specify Year)
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2008
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o
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Over Five Years Ago
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2. Principal Place of Business and Contact Information
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Name of Issuer
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UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC
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Street Address 1
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Street Address 2
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1301 MUNICIPAL WAY
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SUITE 100
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City
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State/Province/Country
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ZIP/Postal Code
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Phone No. of Issuer
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GRAPEVINE
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TEXAS
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76051
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817-835-0650
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Last Name
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First Name
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Middle Name
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Etter
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Todd
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F
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Street Address 1
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Street Address 2
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1301 Municipal Way
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Suite 100
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City
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State/Province/Country
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ZIP/Postal Code
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Grapevine
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TEXAS
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76051
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Relationship:
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x
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Executive Officer
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o
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Director
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o
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Promoter
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Clarification of Response (if Necessary)
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Last Name
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First Name
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Middle Name
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Greenlaw
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Hollis
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M
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Street Address 1
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Street Address 2
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1301 Municipal Way
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Suite 100
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City
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State/Province/Country
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ZIP/Postal Code
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Grapevine
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TEXAS
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76051
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Relationship:
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x
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Executive Officer
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o
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Director
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o
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Promoter
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Clarification of Response (if Necessary)
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Last Name
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First Name
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Middle Name
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Wissink
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Ben
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L
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Street Address 1
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Street Address 2
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1301 Municipal Way
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Suite 100
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City
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State/Province/Country
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ZIP/Postal Code
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Grapevine
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TEXAS
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76051
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Relationship:
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x
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Executive Officer
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o
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Director
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o
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Promoter
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Clarification of Response (if Necessary)
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Last Name
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First Name
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Middle Name
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Obert
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Cara
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D
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Street Address 1
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Street Address 2
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1301 Municipal Way
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Suite 100
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City
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State/Province/Country
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ZIP/Postal Code
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Grapevine
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TEXAS
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76051
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Relationship:
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x
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Executive Officer
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o
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Director
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o
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Promoter
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Clarification of Response (if Necessary)
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Last Name
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First Name
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Middle Name
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Hagan
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Hillary
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Street Address 1
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Street Address 2
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1301 Municipal Way
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Suite 100
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City
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State/Province/Country
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ZIP/Postal Code
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Grapevine
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TEXAS
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76051
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Relationship:
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x
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Executive Officer
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o
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Director
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o
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Promoter
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Clarification of Response (if Necessary)
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o
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Agriculture
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Health Care
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o
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Retailing
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Banking & Financial Services
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o
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Biotechnology
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o
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Restaurants
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o
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Commercial Banking
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o
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Health Insurance
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Technology
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o
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Insurance
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o
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Hospitals & Physicians
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o
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Computers
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o
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Investing
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o
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Pharmaceuticals
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o
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Telecommunications
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o
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Investment Banking
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o
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Other Health Care
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o
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Other Technology
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o
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Pooled Investment Fund
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Travel
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o
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Other Banking & Financial Services
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o
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Manufacturing
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o
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Airlines & Airports
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Real Estate
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o
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Lodging & Conventions
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o
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Commercial
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o
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Tourism & Travel Services
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o
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Construction
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o
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Other Travel
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o
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REITS & Finance
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o
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Other
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o
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Residential
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x
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Other Real Estate
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o
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Business Services
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Energy
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o
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Coal Mining
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o
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Electric Utilities
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o
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Energy Conservation
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o
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Environmental Services
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o
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Oil & Gas
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o
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Other Energy
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Revenue Range
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Aggregate Net Asset Value Range
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o
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No Revenues
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o
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No Aggregate Net Asset Value
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o
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$1 - $1,000,000
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o
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$1 - $5,000,000
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o
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$1,000,001 - $5,000,000
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o
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$5,000,001 - $25,000,000
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x
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$5,000,001 - $25,000,000
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o
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$25,000,001 - $50,000,000
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o
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$25,000,001 - $100,000,000
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o
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$50,000,001 - $100,000,000
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o
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Over $100,000,000
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o
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Over $100,000,000
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o
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Decline to Disclose
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o
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Decline to Disclose
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o
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Not Applicable
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o
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Not Applicable
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6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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o
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Rule 504(b)(1) (not (i), (ii) or (iii))
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o
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Rule 505
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o
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Rule 504 (b)(1)(i)
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x
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Rule 506
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o
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Rule 504 (b)(1)(ii)
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o
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Securities Act Section 4(6)
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o
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Rule 504 (b)(1)(iii)
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x
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Investment Company Act Section 3(c)
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o
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Section 3(c)(1)
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o
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Section 3(c)(9)
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o
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Section 3(c)(2)
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o
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Section 3(c)(10)
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o
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Section 3(c)(3)
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o
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Section 3(c)(11)
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o
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Section 3(c)(4)
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o
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Section 3(c)(12)
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x
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Section 3(c)(5)
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o
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Section 3(c)(13)
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o
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Section 3(c)(6)
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o
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Section 3(c)(14)
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o
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Section 3(c)(7)
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o
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New Notice
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Date of First Sale
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2008-07-18
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o
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First Sale Yet to Occur
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Does the Issuer intend this offering to last more than one year?
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x
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Yes
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o
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No
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9. Type(s) of Securities Offered (select all that apply)
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x
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Pooled Investment Fund Interests
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x
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Equity
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o
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Tenant-in-Common Securities
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o
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Debt
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o
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Mineral Property Securities
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o
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Option, Warrant or Other Right to Acquire Another Security
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o
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
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o
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Other (describe)
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10. Business Combination Transaction
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Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
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o
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Yes
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x
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No
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Clarification of Response (if Necessary)
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Minimum investment accepted from any outside investor
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$
2000
USD
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Recipient
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Recipient CRD Number
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o
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None
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A. Ken Flake
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209342
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(Associated) Broker or Dealer
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o
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None
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(Associated) Broker or Dealer CRD Number
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o
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None
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VSR Financial Services Inc
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14503
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Street Address 1
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Street Address 2
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4606 FM 1960 West
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Suite 400
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City
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State/Province/Country
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ZIP/Postal Code
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Houston
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TEXAS
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77069
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State(s) of Solicitation
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o
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All States
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o
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Foreign/Non-US
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CALIFORNIA
COLORADO
TEXAS
UTAH
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Recipient
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Recipient CRD Number
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o
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None
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Andrew C. Bolt
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1594587
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(Associated) Broker or Dealer
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o
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None
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(Associated) Broker or Dealer CRD Number
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o
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None
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Harrison Douglas Inc.
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16515
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Street Address 1
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Street Address 2
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3025 South Parker
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Suite 801
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City
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State/Province/Country
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ZIP/Postal Code
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Aurora
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COLORADO
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80014
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State(s) of Solicitation
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o
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All States
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o
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Foreign/Non-US
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MARYLAND
TENNESSEE
TEXAS
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Recipient
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Recipient CRD Number
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o
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None
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Anthony Lombardi
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2921904
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(Associated) Broker or Dealer
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o
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None
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(Associated) Broker or Dealer CRD Number
|
o
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None
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Centaurus Financial
|
30833
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Street Address 1
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Street Address 2
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2177 Salk Avenue
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Suite 180
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City
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State/Province/Country
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ZIP/Postal Code
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Carlsbad
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CALIFORNIA
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92008
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State(s) of Solicitation
|
o
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All States
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o
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Foreign/Non-US
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CALIFORNIA
MICHIGAN
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Recipient
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Recipient CRD Number
|
o
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None
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Robert Bragg
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4767535
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(Associated) Broker or Dealer
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o
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None
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(Associated) Broker or Dealer CRD Number
|
o
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None
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VSR Financial Services Inc.
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14503
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Street Address 1
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Street Address 2
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15435 Gleneagle Dr.
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Suite 210
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City
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State/Province/Country
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ZIP/Postal Code
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Colorado Springs
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COLORADO
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80921
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State(s) of Solicitation
|
o
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All States
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o
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Foreign/Non-US
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COLORADO
FLORIDA
VIRGINIA
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Recipient
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Recipient CRD Number
|
o
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None
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Robert Hinz
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1026405
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(Associated) Broker or Dealer
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o
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None
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(Associated) Broker or Dealer CRD Number
|
o
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None
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VSR Financial Services Inc.
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14503
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Street Address 1
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Street Address 2
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600 Stewart St.
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Suite 602
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City
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State/Province/Country
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ZIP/Postal Code
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Seattle
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WASHINGTON
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98101
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State(s) of Solicitation
|
o
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All States
|
o
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Foreign/Non-US
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HAWAII
WASHINGTON
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Recipient
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Recipient CRD Number
|
o
|
None
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Robert Wamhoff
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2082701
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(Associated) Broker or Dealer
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o
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None
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(Associated) Broker or Dealer CRD Number
|
o
|
None
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VSR Financial Services Inc.
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14503
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Street Address 1
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Street Address 2
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|
745 Dunn Road
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City
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State/Province/Country
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ZIP/Postal Code
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|
Hazelwood
|
MISSOURI
|
63042
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State(s) of Solicitation
|
o
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All States
|
o
|
Foreign/Non-US
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FLORIDA
ILLINOIS
KENTUCKY
MISSOURI
NEW YORK
TEXAS
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Recipient
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Recipient CRD Number
|
o
|
None
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Robert Tweed
|
2339324
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(Associated) Broker or Dealer
|
o
|
None
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(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
CapWest Securities Inc.
|
30002
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|
Street Address 1
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Street Address 2
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|
2060 Huntington Drive
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Suite 1
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City
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State/Province/Country
|
ZIP/Postal Code
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|
San Marino
|
CALIFORNIA
|
91108
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|
State(s) of Solicitation
|
o
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All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
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|
Recipient
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Recipient CRD Number
|
o
|
None
|
|
Bradley R. Calley
|
4502601
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(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
IMS Securities Inc.
|
35567
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Street Address 1
|
Street Address 2
|
|
1301 Municipal Way
|
Suite 100
|
|
City
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State/Province/Country
|
ZIP/Postal Code
|
|
Grapevine
|
TEXAS
|
76051
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Bryon Martinsen
|
1621649
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|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Centaurus Financial Inc.
|
30833
|
|
Street Address 1
|
Street Address 2
|
|
220 Fort Salonga Rd.
|
Suite 301C
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City
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State/Province/Country
|
ZIP/Postal Code
|
|
Northport
|
NEW YORK
|
11768
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MINNESOTA
NEW YORK
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Robert Setser
|
1005169
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Direct Capital Securities Inc.
|
29639
|
|
Street Address 1
|
Street Address 2
|
|
1250 S. Capital of Texas Highway
|
Building 1, Suite 410
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Austin
|
TEXAS
|
78746
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
|
|
Recipient
|
Recipient CRD Number
|
x
|
None
|
|
Michael L. Sampson
|
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Eagle One Investments LLC
|
45254
|
|
Street Address 1
|
Street Address 2
|
|
401 Westview Court
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Washington
|
IOWA
|
52353
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
IOWA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Dana Kellogg
|
2496097
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
ePlanning Securities Inc.
|
46000
|
|
Street Address 1
|
Street Address 2
|
|
3721 Douglas Blvd.
|
Suite 200
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Roseville
|
CALIFORNIA
|
95661
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Brian H. Breuel
|
813742
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corporation
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
6 Gordon Avenue
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lawrenceville
|
NEW JERSEY
|
08648
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
NEW JERSEY
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Brian D. Day-Lewis
|
4513044
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Investors Capital
|
30613
|
|
Street Address 1
|
Street Address 2
|
|
3 Roberge Drive
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Tyngsboro
|
MASSACHUSETTS
|
01879
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
INDIANA
MASSACHUSETTS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Charles R. Byrnes III
|
2360145
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Investors Capital
|
30613
|
|
Street Address 1
|
Street Address 2
|
|
230 Broadway East
|
Suite 203
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lynnfield
|
MASSACHUSETTS
|
01940
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MASSACHUSETTS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Ferdinand Dosono
|
2110497
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
National Securities Corporation
|
7569
|
|
Street Address 1
|
Street Address 2
|
|
2970 Haleko Rd.
|
Suite 201
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lihue
|
HAWAII
|
96766
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
HAWAII
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jalon OConnell
|
3005016
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
National Securities Corporation
|
7569
|
|
Street Address 1
|
Street Address 2
|
|
9300 Wilshire Blvd.
|
Suite 420
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Beverly Hills
|
CALIFORNIA
|
90212
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
HAWAII
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Bruce M. Kimball
|
2576920
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
1720 Oak Village
|
Suite 100
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Arlington
|
TEXAS
|
76017
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MARYLAND
OKLAHOMA
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Buster Godbee
|
2284452
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Cambridge Legacy Securities
|
103722
|
|
Street Address 1
|
Street Address 2
|
|
101 Plaza Carmona Place
|
Suite D
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Hot Springs
|
ARKANSAS
|
71919
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
ARKANSAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
David M. Breedlove
|
1422471
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Cambridge Legacy Securities
|
103722
|
|
Street Address 1
|
Street Address 2
|
|
1024 Pruitt Place
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Tyler
|
TEXAS
|
75703
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
David Theis
|
1422471
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corporation
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
103 Marty Drive
|
Suite 101
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Buffalo
|
MINNESOTA
|
55313
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MINNESOTA
|
|
Recipient
|
Recipient CRD Number
|
x
|
None
|
|
Michael Doherty
|
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corporation
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
103 Marty Drive
|
Suite 101
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Buffalo
|
MINNESOTA
|
55313
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MINNESOTA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Deborah Deitering
|
729452
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
IMS Securities Inc.
|
35567
|
|
Street Address 1
|
Street Address 2
|
|
4205 Snug Harbor
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
College Station
|
TEXAS
|
77545
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Dennis Van Pater
|
1364583
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
7700 San Jacinto Place
|
Suite 100
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Plano
|
TEXAS
|
75024
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Dilip Shah
|
4565670
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Cambridge Legacy Securities
|
103722
|
|
Street Address 1
|
Street Address 2
|
|
535 West Burnell
|
Suite 120
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lewisville
|
TEXAS
|
75057
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Donald J. Beary
|
15818
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
8620 W. 110th St.
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Overland Park
|
KANSAS
|
66210
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
KANSAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Dorann Hurley
|
1782641
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
111 SW 4th St.
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Corvallis
|
OREGON
|
97333
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
ARKANSAS
COLORADO
KANSAS
NEVADA
NEW MEXICO
OREGON
SOUTH DAKOTA
TEXAS
WASHINGTON
|
|
Recipient
|
Recipient CRD Number
|
x
|
None
|
|
Douglas K. Van Allen
|
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
111 SW 4th St.
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Corvallis
|
OREGON
|
97333
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
OREGON
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Gary Tad Lindsey
|
2398788
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corporation
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
132 E. 500 South
|
Suite 1
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Bountiful
|
UTAH
|
84010
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
UTAH
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Gregory M. Ellis
|
4046935
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
6421 Perkins
|
Suite 1A
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Baton Rouge
|
LOUISIANA
|
70808
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
LOUISIANA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jeannette Glaza
|
1363844
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
15435 Gleneagle Dr.
|
Suite 210
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Colorado Springs
|
COLORADO
|
80921
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
COLORADO
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jeffrey Nesseth
|
1983482
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corporation
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
7000 Central Parkway NE
|
Suite 1340
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Atlanta
|
GEORGIA
|
30328
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
GEORGIA
IOWA
NEVADA
|
|
Recipient
|
Recipient CRD Number
|
x
|
None
|
|
Jeffrey Ausgburger
|
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corporation
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
One Valmont Plaza
|
4th Floor
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Omaha
|
NEBRASKA
|
68154
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
ILLINOIS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jesse Griffin Jr.
|
1165095
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
2646 Southwest Mapp Rd.
|
Suite 104
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Palm City
|
FLORIDA
|
34990
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
FLORIDA
MAINE
NEW JERSEY
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jim Armagost
|
7157
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
803 West 25th St.
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Kearney
|
NEBRASKA
|
68845
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
COLORADO
MINNESOTA
NEBRASKA
WYOMING
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
John Gorely
|
225973
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
182 Mine Lake Court
|
Suite 100
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Raleigh
|
NORTH CAROLINA
|
27615
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
DISTRICT OF COLUMBIA
GEORGIA
NORTH CAROLINA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Ken Klespies
|
1258664
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
2212 Muirfield Way
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Oldsmar
|
FLORIDA
|
34677
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
FLORIDA
INDIANA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Kevin Yaley
|
2893171
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Berthel Fisher and Company Financial Services
|
13609
|
|
Street Address 1
|
Street Address 2
|
|
401 Jefferson St.
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Burlington
|
IOWA
|
52601
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
IOWA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Kim Kopacka
|
3153396
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
IMS Securities Inc.
|
35567
|
|
Street Address 1
|
Street Address 2
|
|
21 Kercheval Avenue
|
Suite 320B
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Gross Point Farms
|
MICHIGAN
|
48236
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
GEORGIA
ILLINOIS
INDIANA
MICHIGAN
VIRGINIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Kris Etter
|
4562123
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
IMS Securities Inc.
|
35567
|
|
Street Address 1
|
Street Address 2
|
|
10205 Westheimer
|
Suite 500
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Houston
|
TEXAS
|
77042
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Megan Schneider
|
4458332
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
111 SW 4th St.
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Corvallis
|
OREGON
|
97333
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
OREGON
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
MF Long II
|
1778299
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
5800 Granite Parkway
|
Suite 100
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Plano
|
TEXAS
|
75024
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Michael Staines
|
5303142
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Berthel Fisher and Company Financial Services Inc.
|
13609
|
|
Street Address 1
|
Street Address 2
|
|
300 Harding Blvd.
|
Suite 209
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Roseville
|
CALIFORNIA
|
95678
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
ARIZONA
CALIFORNIA
NEW JERSEY
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Mike Henry
|
243365
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Cambridge Legacy Securities
|
103722
|
|
Street Address 1
|
Street Address 2
|
|
2028 E. Ben White Blvd.
|
Suite 500
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Austin
|
TEXAS
|
78741
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Nir Regev
|
1847410
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
261 Clarkson Executive Park
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Ellisville
|
MISSOURI
|
63011
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MISSOURI
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Paul Burkemper
|
2222925
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
10825 Watson Rd.
|
Suite 100
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
St. Louis
|
MISSOURI
|
63127
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MISSOURI
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Randy Stevenson
|
2114058
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
719 W. Front St.
|
Suite 176
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Tyler
|
TEXAS
|
75702
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Robert J. Kramer
|
1715096
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
2116 N. Court
|
Suite 1
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Ottumwa
|
IOWA
|
52501
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
IOWA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
John Redfearn III
|
2771876
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corporation
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
7000 Central Parkway NE
|
Suite 1340
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Atlanta
|
GEORGIA
|
30328
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
GEORGIA
MISSOURI
NEVADA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Russell Childs
|
1192883
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Cambridge Legacy Securities
|
103722
|
|
Street Address 1
|
Street Address 2
|
|
4100 Spring Valley Rd.
|
Suite 500
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Dallas
|
TEXAS
|
75244
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Ryan Benning
|
4205469
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Berthel Fisher and Company Financial Services
|
13609
|
|
Street Address 1
|
Street Address 2
|
|
931 S. Washington St.
|
Suite 1
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Bismark
|
NORTH DAKOTA
|
58504
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
NORTH DAKOTA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Shawn Davis
|
2911230
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Berthel Fisher and Company Financial Services
|
13609
|
|
Street Address 1
|
Street Address 2
|
|
300 Harding Blvd.
|
Suite 209
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Roseville
|
CALIFORNIA
|
95678
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
|
|
Recipient
|
Recipient CRD Number
|
x
|
None
|
|
Steven Shirley
|
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
8620 W. 110th St.
|
Suite 200
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Overland Park
|
KANSAS
|
66210
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Terry L. Sonnenfeld
|
2216263
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
902 E. 2nd Street
|
Suite 150
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Winona
|
MINNESOTA
|
55987
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MINNESOTA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Allan W. Cranfill
|
2346578
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
3601 North Robison Road
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Texarkana
|
TEXAS
|
75501
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Mikiel R. Featherston
|
1885948
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
7200 North Mopac Expressway
|
Suite 320
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Austin
|
TEXAS
|
78731
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Lisa Allen
|
1198978
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
7200 North Mopac Expressway
|
Suite 320
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Austin
|
TEXAS
|
78731
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Alvery A. Bartlett Jr.
|
13975
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Berthel Fisher and Company Financial Services Inc.
|
13609
|
|
Street Address 1
|
Street Address 2
|
|
8000 Maryland Avenue
|
Suite 1031
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
St. Louis
|
MISSOURI
|
63105
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MISSOURI
NEVADA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Andrew J. Crabb
|
3077317
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
9055 E. Mineral Circle
|
Suite 200
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Centennial
|
COLORADO
|
80112
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
COLORADO
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
William M. Conroy III
|
1345235
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
600 Stewart Street
|
Suite 602
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Seattle
|
WASHINGTON
|
98101
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
WASHINGTON
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Richard M. Braverman
|
1023227
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management Inc.
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
2173 Embassy Drive
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lancaster
|
PENNSYLVANIA
|
17603
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
PENNSYLVANIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Samuel R. Monchik
|
4113886
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management Inc.
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
2173 Embassy Drive
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lancaster
|
PENNSYLVANIA
|
17603
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
PENNSYLVANIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Brian M. Borakowski
|
4093679
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Berthel Fisher and Company Financial Services Inc.
|
13609
|
|
Street Address 1
|
Street Address 2
|
|
936 N 87th Place
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Scottsdale
|
ARIZONA
|
85257
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
ARIZONA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Charles E. Ohara
|
735399
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Symetra Investment Services Inc.
|
19061
|
|
Street Address 1
|
Street Address 2
|
|
342 Broadway
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Newport
|
RHODE ISLAND
|
02840
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
RHODE ISLAND
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Charles R. Elhoff Jr.
|
76936
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
1000 Ballpark Way
|
Suite 214
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Arlington
|
TEXAS
|
76011
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Charles R. Fischer
|
1186289
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
IMS Securities Inc.
|
35567
|
|
Street Address 1
|
Street Address 2
|
|
1500 Valley River Dr.
|
Suite 315
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Eugene
|
OREGON
|
97401
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
OREGON
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Cheri L. Johnson
|
2823107
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Kaiser and Company
|
14186
|
|
Street Address 1
|
Street Address 2
|
|
5790 Soundview Drive
|
Suite 201A
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Gig Harbor
|
WASHINGTON
|
14186
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
WASHINGTON
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Christopher I. Hall
|
4654096
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corp.
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
2826 NW Windham LP
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Bend
|
OREGON
|
97701
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
OREGON
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Charles R. Bigbie III
|
1158301
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management Inc.
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
7233 S 85th E Avenue
|
Suite 400
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Tulsa
|
OKLAHOMA
|
74133
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
OKLAHOMA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Denton L. Smith
|
427316
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Wealth Management Inc.
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
64 East Broadway
|
Suite 215
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Tempe
|
ARIZONA
|
85282
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
ARIZONA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Elizabeth R. Huckeby
|
4061056
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corp.
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
357 S. McCaslin Blvd
|
Suite 200
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Louisville
|
COLORADO
|
80027
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
COLORADO
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Eric P. Weschke
|
2486324
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Alternative Wealth Strategies
|
130933
|
|
Street Address 1
|
Street Address 2
|
|
11 Dorn Court
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Setauket
|
NEW YORK
|
11733
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
NEW YORK
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
FW Libardono Jr
|
706551
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Investors Capital Corp.
|
30613
|
|
Street Address 1
|
Street Address 2
|
|
70 Washington Street
|
Suite 103
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Salem
|
MASSACHUSETTS
|
01970
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MASSACHUSETTS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Gary D. Gray
|
4171086
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Newbridge Securities Corporation
|
104065
|
|
Street Address 1
|
Street Address 2
|
|
7700 N. Kendall Drive
|
Suite 408
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Miami
|
FLORIDA
|
33156
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
FLORIDA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Gary C. Haack
|
2796834
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
WFG Investments Inc.
|
22704
|
|
Street Address 1
|
Street Address 2
|
|
16500 San Pedro
|
Suite 300
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
San Antonio
|
TEXAS
|
78232
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Gene L. Fahlsing
|
1285592
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Capital Financial Services Inc.
|
8408
|
|
Street Address 1
|
Street Address 2
|
|
20410 Brookmont Rd.
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Morrison
|
COLORADO
|
80465
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
COLORADO
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Gregory L. Gibson
|
4348507
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Investors Capital Corp.
|
30613
|
|
Street Address 1
|
Street Address 2
|
|
4171 Poplar Avenue
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Memphis
|
TENNESSEE
|
38117
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TENNESSEE
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Gregory S. Kuras
|
1444445
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
American Portfolios Financial Services
|
18487
|
|
Street Address 1
|
Street Address 2
|
|
200 Highway 71
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Spring Lake Heights
|
NEW JERSEY
|
07762
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
NEW JERSEY
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
James O. Conaway
|
1920946
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Services
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
3000 E. Birch
|
Suite 109
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Brea
|
CALIFORNIA
|
92821
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
NEW YORK
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
James R. Slacke
|
1531064
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Centaurus Financial Inc.
|
30833
|
|
Street Address 1
|
Street Address 2
|
|
940 Saratoga Avenue
|
Suite 107
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
San Jose
|
CALIFORNIA
|
95129
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jason A. McGinty
|
4499263
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Centaurus Financial Inc.
|
30833
|
|
Street Address 1
|
Street Address 2
|
|
2300 E. Katella Avenue
|
Suite 200
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Anaheim
|
CALIFORNIA
|
92806
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jason D. Waxler
|
1756279
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
American Portfolios Financial Services
|
18487
|
|
Street Address 1
|
Street Address 2
|
|
134 Huntville Road
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Katonah
|
NEW YORK
|
10536
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
NEW YORK
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
John J. Herrod
|
5626076
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Berthel Fisher and Company Financial Services Inc
|
13609
|
|
Street Address 1
|
Street Address 2
|
|
1474 Stone Point Drive
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Roseville
|
CALIFORNIA
|
95661
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jay A. Wallinger
|
2407056
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
113 North Main
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Stuart
|
NEBRASKA
|
68780
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
COLORADO
NEBRASKA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Jeffrey G. Meyers
|
2192759
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
QA3 Financial Corp.
|
14754
|
|
Street Address 1
|
Street Address 2
|
|
8717 W 110th St.
|
Suite 620
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Overland Park
|
KANSAS
|
66210
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
INDIANA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
James D. Phelan
|
362251
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
IMS Securities Inc.
|
35567
|
|
Street Address 1
|
Street Address 2
|
|
4412 Spicewood Springs
|
Suite 300
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Austin
|
TEXAS
|
78759
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
James R. Kennedy
|
1961588
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
106 South Seaman Street
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Eastland
|
TEXAS
|
76448
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
John D. Crockett
|
1463224
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Centaurus Financial Inc.
|
30833
|
|
Street Address 1
|
Street Address 2
|
|
16825 48th Avenue West
|
Suite 112
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lynnwood
|
WASHINGTON
|
98037
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
WASHINGTON
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
John H. Towers
|
700221
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
5800 Granite Parkway
|
Suite 100
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Plano
|
TEXAS
|
75024
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
John T. Lady
|
2045202
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
330 Pelham Road
|
Suite 101B
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Greenville
|
SOUTH CAROLINA
|
29615
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
SOUTH CAROLINA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Steven D. Kaestner
|
2844064
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
933 East Britton
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Oklahoma City
|
OKLAHOMA
|
73114
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
OKLAHOMA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Michael H. Cunningham
|
2499939
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
933 East Britton
|
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Oklahoma City
|
OKLAHOMA
|
73114
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
OKLAHOMA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Karl F. Frank
|
4769985
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Geneos Walth Management Inc.
|
120894
|
|
Street Address 1
|
Street Address 2
|
|
9780 Mt Pyramid Court
|
Suite 130
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Englewood
|
COLORADO
|
80112
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
COLORADO
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Kenneth W. Finnell
|
1184110
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Newport Coast Securities Inc.
|
16944
|
|
Street Address 1
|
Street Address 2
|
|
43460 Ridge Park Drive
|
Suite 200
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Temecula
|
CALIFORNIA
|
92590
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Kevin N. Nevin
|
2460059
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
1660 Highway 100 South
|
Siute 500
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
St. Louis Park
|
MINNESOTA
|
55416
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MINNESOTA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Kraig W. Killough
|
2463476
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
EDI Financial Inc.
|
15699
|
|
Street Address 1
|
Street Address 2
|
|
4265 San Felipe St.
|
Suite 1100
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Houston
|
TEXAS
|
77027
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
TEXAS
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Kimberly A. Barry
|
4790882
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
TNP Securities LLC
|
149178
|
|
Street Address 1
|
Street Address 2
|
|
2999 Oak Road
|
Suite 800
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Walnut Creek
|
CALIFORNIA
|
94597
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CALIFORNIA
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Lawrence Smith
|
2378563
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
Investors Capital Corp.
|
30613
|
|
Street Address 1
|
Street Address 2
|
|
800 Summer Street
|
Suite 415
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Stamford
|
CONNECTICUT
|
06901
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
CONNECTICUT
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Lawrence Breen III
|
1333876
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
1515 International Parkway
|
Suite 1019
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Lake Mary
|
FLORIDA
|
32746
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
MISSOURI
|
|
Recipient
|
Recipient CRD Number
|
o
|
None
|
|
Linda S. Collier
|
1304049
|
|
(Associated) Broker or Dealer
|
o
|
None
|
(Associated) Broker or Dealer CRD Number
|
o
|
None
|
|
VSR Financial Services Inc.
|
14503
|
|
Street Address 1
|
Street Address 2
|
|
2150 North 107th Street
|
Suite 521
|
|
City
|
State/Province/Country
|
ZIP/Postal Code
|
|
Seattle
|
WASHINGTON
|
98133
|
|
State(s) of Solicitation
|
o
|
All States
|
o
|
Foreign/Non-US
|
WASHINGTON
|
|
13. Offering and Sales Amounts
|
|
Total Offering Amount
|
$
124950000
USD
|
o
Indefinite
|
|
Total Amount Sold
|
$
28477471
USD
|
|
|
Total Remaining to be Sold
|
$
96472529
USD
|
o
Indefinite
|
|
|
|
Clarification of Response (if Necessary)
|
|
Total Offering Amount: $100,000,000 represents aggregate amount for limited partnership interests and $24,950,000 represents aggregate amount for limited liability company membership interests being offered in connection with offering
|
|
x
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
|
25
|
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
|
595
|
|
15. Sales Commissions & Finders' Fees Expenses
|
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
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Sales Commissions
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$
8743000
USD
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x
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Estimate
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Finders' Fees
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$
0
USD
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o
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Estimate
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Clarification of Response (if Necessary)
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Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
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Clarification of Response (if Necessary)
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Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
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Terms of Submission
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In submitting this notice, each Issuer named above is:
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Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.
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Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
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Certifying that the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above for one of the reasons stated in Rule 505(b)(2)(iii).
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
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For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
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o
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I also am a duly authorized representative of the other Issuer(s) in Item 1 above and authorized to sign on their behalf.
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Issuer
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Signature
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Name of Signer
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Title
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Date
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UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP
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/Hollis M. Greenlaw/
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Hollis M. Greenlaw
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President of managing member of gp of Issuer gp
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2011-03-15
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UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC
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Hollis M. Greenlaw/
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Hollis M. Greenlaw
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Pres. of managing member of gp of Issuer managing member
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2011-03-15
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