The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
   None
Entity Type
0001452178
John Hancock Life
Insurance Co. (U.S.A.) Separate
Account P
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
X Other (Specify)

Insurance Company Separate Investment Account
Name of Issuer
John Hancock Life Insurance Co (U.S.A.) Separate Account P
Jurisdiction of Incorporation/Organization
MICHIGAN
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
John Hancock Life Insurance Co (U.S.A.) Separate Account P
Street Address 1 Street Address 2
197 Clarendon Street
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
Boston MASSACHUSETTS 02116 800-521-1234

3. Related Persons

Last Name First Name Middle Name
John Hancock Life Insurance Company (U.S.A.) John
Street Address 1 Street Address 2
197 Clarendon Street
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02116
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
X Pooled Investment Fund
   Hedge Fund
   Private Equity Fund
   Venture Capital Fund
X Other Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes X No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
   Decline to Disclose X Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 505
   Rule 506(b)
X Rule 506(c)
   Securities Act Section 4(a)(5)
X Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
X Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2008-12-08    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

9. Type(s) of Securities Offered (select all that apply)

   Equity X Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X Other (describe)
Interests in the Separate Account issued pursuant to Variable Life Insurance Policies

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $100,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
John Ramsey 2027520
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Signator Investors 468
Street Address 1 Street Address 2
197 Clarendon Street
City State/Province/Country ZIP/Postal Code
Boston MASSACHUSETTS 02116
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
NEBRASKA
VIRGINIA
Recipient
Recipient CRD Number    None
Donald Friedman 1023219
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARKANSAS
CALIFORNIA
COLORADO
GEORGIA
IOWA
LOUISIANA
MARYLAND
MASSACHUSETTS
MINNESOTA
MISSOURI
NEW JERSEY
NEW MEXICO
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
TENNESSEE
TEXAS
Recipient
Recipient CRD Number    None
David Gagnon 1734379
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
MASSACHUSETTS
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Michael Corrigan 865125
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ProEquities, Inc. 15708
Street Address 1 Street Address 2
322 N. Nopal Street
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MISSOURI
NEW MEXICO
OREGON
WASHINGTON
Recipient
Recipient CRD Number    None
Daniel Wagner 2653222
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ProEquities, Inc. 15708
Street Address 1 Street Address 2
16654 Chesterfield Farms Drive
City State/Province/Country ZIP/Postal Code
Chesterfield MISSOURI 63005
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
William Granville 2625844
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Northwestern Mutual Investment Services, LLC 2881
Street Address 1 Street Address 2
1 Riverway Suite 900
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
William Borchert 1057817
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Northwestern Mutual Investment Services, LLC 2881
Street Address 1 Street Address 2
1 Riverway Suite 900
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
James Cheney 45355
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1400 Williams Street
City State/Province/Country ZIP/Postal Code
Chattanooga TENNESSEE 37408
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
GEORGIA
MARYLAND
NEW JERSEY
OHIO
OREGON
TENNESSEE
Recipient
Recipient CRD Number    None
Todd Mezrah 2313891
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
5350 West Kennedy Boulevard
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
FLORIDA
MARYLAND
VIRGINIA
WEST VIRGINIA
Recipient
Recipient CRD Number    None
William Solfisburg 870776
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities, Inc. 42046
Street Address 1 Street Address 2
224 Hinckley Road
City State/Province/Country ZIP/Postal Code
MILTON MASSACHUSETTS 02186
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Stephen Kaufman 1022273
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
5120 Woodway Suite 6002
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Richard Melnick 4399110
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
5120 Woodway Suite 6002
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
INDIANA
TEXAS
Recipient
Recipient CRD Number    None
Carlos Huerta 3042039
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
5120 Woodway Suite 6002
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
TEXAS
Recipient
Recipient CRD Number    None
Jeffrey Davis 2187246
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
2467 Country Club Loop
City State/Province/Country ZIP/Postal Code
Westminster COLORADO 80234
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MARYLAND
OKLAHOMA
OREGON
VIRGINIA
WASHINGTON
WEST VIRGINIA
Recipient
Recipient CRD Number    None
James Wagner 1443094
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capital Analysts, Incorporated 5478
Street Address 1 Street Address 2
13811 Clayton Road
City State/Province/Country ZIP/Postal Code
Town and Country MISSOURI 63014
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MARYLAND
OKLAHOMA
OREGON
VIRGINIA
WASHINGTON
WEST VIRGINIA
Recipient
Recipient CRD Number    None
Gus Comiskey 1019082
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
5120 Woodway Suite 6002
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Daryl Brockman 1960335
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Signator Investors 468
Street Address 1 Street Address 2
8607 Westwood Center Drive Suite 300
City State/Province/Country ZIP/Postal Code
Vienna VIRGINIA 22182
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSISSIPPI
Recipient
Recipient CRD Number    None
Raymond Layman 4131553
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Legacy Securities, LLC 47079
Street Address 1 Street Address 2
3617 Summerford Drive
City State/Province/Country ZIP/Postal Code
Marietta GEORGIA 30062
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSISSIPPI
Recipient
Recipient CRD Number    None
Kevin Conley 1434976
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Signator Investors 468
Street Address 1 Street Address 2
8607 Westwood Center Drive Suite 300
City State/Province/Country ZIP/Postal Code
Vienna VIRGINIA 22182
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
GEORGIA
KENTUCKY
MISSISSIPPI
VIRGINIA
Recipient
Recipient CRD Number    None
Glenn Blackwood 1354238
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
2100 Ross Avenue Suite 2200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75201-7906
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Jason Prather 4669803
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities, Inc. 42046
Street Address 1 Street Address 2
200 S. Commerce Suite 350
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
Robert Leeper 1635925
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities, Inc. 42046
Street Address 1 Street Address 2
200 S. Commerce Suite 350
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
DISTRICT OF COLUMBIA
PENNSYLVANIA
TENNESSEE
TEXAS
Recipient
Recipient CRD Number    None
Stephen Whipple 1305851
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities, Inc. 42046
Street Address 1 Street Address 2
200 S.Commerce Suite 350
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
CALIFORNIA
GEORGIA
KENTUCKY
OHIO
TENNESSEE
Recipient
Recipient CRD Number    None
David Larson 4501375
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Signator Investors 468
Street Address 1 Street Address 2
197 Clarendon St.
City State/Province/Country ZIP/Postal Code
Boston MASSACHUSETTS 02113
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Thomas Lynch 1023219
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MINNESOTA
Recipient
Recipient CRD Number    None
Bobby Whitfield Jr 3496
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
Wayne Cravens 1678891
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
1080 Interstate Dr.
City State/Province/Country ZIP/Postal Code
Cookeville TENNESSEE 38501
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Jose Garza 3172270
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
2100 Ross Ave. Suite 2200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
Recipient
Recipient CRD Number    None
Jeremy Knobel 4315867
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
2100 Ross Ave. Suite 2200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
Michael Layne 1937024
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Signator Investors, Inc. 468
Street Address 1 Street Address 2
9410 Atlee Commerce Boulevard Suite 3
City State/Province/Country ZIP/Postal Code
Ashland VIRGINIA 23005
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
NEW JERSEY
Recipient
Recipient CRD Number    None
James R. Cole 2941597
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
BOSC, INC. 17530
Street Address 1 Street Address 2
One Williams Center Plaza Southeast
City State/Province/Country ZIP/Postal Code
Tulsa OKLAHOMA 74172
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OKLAHOMA
Recipient
Recipient CRD Number    None
Judson Gray Teekell 841689
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
LOUISIANA
Recipient
Recipient CRD Number    None
David Byers 2653460
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FNBB Capital Markets, LLC 132091
Street Address 1 Street Address 2
Two Metroplex Drive Suite 111
City State/Province/Country ZIP/Postal Code
Birmingham ALABAMA 35209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
Recipient
Recipient CRD Number    None
Joseph Crea 2110561
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
David Emery 1984877
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities, Inc. 42046
Street Address 1 Street Address 2
2106 28th Street CRT NW
City State/Province/Country ZIP/Postal Code
Gig Harbor WASHINGTON 98335
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
WASHINGTON
Recipient
Recipient CRD Number    None
Wesley Caudell 132091
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Stephen Coale 1292536
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Amherst Securities Group, L.P. 31141
Street Address 1 Street Address 2
1300 Post Oak Blvd.
City State/Province/Country ZIP/Postal Code
Houston TEXAS 31141
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Steven Goldberg 2890212
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J. ALDEN ASSOCIATES, INC. 40002
Street Address 1 Street Address 2
261 OLD YORK ROAD SUITE 837
City State/Province/Country ZIP/Postal Code
JENKINTOWN PENNSYLVANIA 19046
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
DELAWARE
MAINE
MASSACHUSETTS
NEW JERSEY
NORTH CAROLINA
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Bennett Meyer 1495939
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J. ALDEN ASSOCIATES, INC. 40002
Street Address 1 Street Address 2
261 OLD YORK ROAD SUITE 837
City State/Province/Country ZIP/Postal Code
JENKINTOWN PENNSYLVANIA 19046
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
CONNECTICUT
DELAWARE
IOWA
MAINE
MASSACHUSETTS
MISSOURI
NEW JERSEY
NORTH CAROLINA
OKLAHOMA
PENNSYLVANIA
TENNESSEE
Recipient
Recipient CRD Number    None
John Ellis 1089311
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA BROKERAGE 13941
Street Address 1 Street Address 2
10942 SAINT MARYS LN
City State/Province/Country ZIP/Postal Code
HOUSTON TEXAS 77079
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Richard Boothby 1497536
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP SECURITIES, INC. 42046
Street Address 1 Street Address 2
1662 MARRLYN RD
City State/Province/Country ZIP/Postal Code
FORT MYERS FLORIDA 33901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Richard Brock 1209197
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP SECURITIES, INC. 42046
Street Address 1 Street Address 2
1662 MARRLYN RD
City State/Province/Country ZIP/Postal Code
FORT MYERS FLORIDA 33901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
FLORIDA
IOWA
KENTUCKY
MICHIGAN
MINNESOTA
NEVADA
SOUTH CAROLINA
TENNESSEE
TEXAS
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
David Soczek 2316655
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PROEQUITIES, INC. 15708
Street Address 1 Street Address 2
1550 UTICA AVENUE SOUTH SUITE 400
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Robert J. Kozloski II 3060557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
IDAHO
MARYLAND
OREGON
TEXAS
Recipient
Recipient CRD Number    None
Mero Capo 2361898
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP SECURITIES, INC. 42046
Street Address 1 Street Address 2
115 VIP DRIVE SUITE 120
City State/Province/Country ZIP/Postal Code
WEXFORD PENNSYLVANIA 15086
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Michael Nolan 1157483
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LINCOLN FINANCIAL ADVISORS CORPORATION 3978
Street Address 1 Street Address 2
2 WISCONSIN CIRCLE SUITE 810
City State/Province/Country ZIP/Postal Code
CHEVY CHASE MARYLAND 20815
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
Recipient
Recipient CRD Number    None
Jay Petty 2895602
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA BROKERAGE SERVICES, INC. 13941
Street Address 1 Street Address 2
7040 NIGHTHAWK COURT
City State/Province/Country ZIP/Postal Code
CARLSBAD CALIFORNIA 92011
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
CALIFORNIA
IDAHO
MONTANA
OREGON
WASHINGTON
Recipient
Recipient CRD Number    None
Robert M Rushing 1331167
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
THE LEADERS GROUP, INC. 37157
Street Address 1 Street Address 2
26 W. DRY CREEK CIRCLE SUITE 575
City State/Province/Country ZIP/Postal Code
LITTLETON COLORADO 80120-4475
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
Matthew Henebry 2711438
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CLARK SECURITIES, INC. 43803
Street Address 1 Street Address 2
2100 ROSS AVENUE SUITE 2200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75201-7906
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
DELAWARE
NEW JERSEY
Recipient
Recipient CRD Number    None
John Sproule 2396821
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA BROKERAGE SERVICES, INC. 13941
Street Address 1 Street Address 2
167 ALFRED LADD
City State/Province/Country ZIP/Postal Code
FRANKLIN TENNESSEE 37064
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
GEORGIA
SOUTH CAROLINA
TENNESSEE
TEXAS
Recipient
Recipient CRD Number    None
Mark Duder 2630357
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SECURITIES AMERICA, INC. 10205
Street Address 1 Street Address 2
15750 VENTURE LANE
City State/Province/Country ZIP/Postal Code
EDEN PRAIRIE MINNESOTA 55344
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
John Pesh 4241880
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PROEQUITIES, INC. 15708
Street Address 1 Street Address 2
1550 UTICA AVENUE SOUTH SUITE 400
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
Albert Schiff 413287
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE SECURITIES LLC 5167
Street Address 1 Street Address 2
281 TRESSER BLVD. SUITE 1110
City State/Province/Country ZIP/Postal Code
STAMFORD CONNECTICUT 06901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
KANSAS
Recipient
Recipient CRD Number    None
Louis Moore 2465135
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
INDEPENDENCE CAPITAL CO., INC. 24723
Street Address 1 Street Address 2
5579 PEARL ROAD SUITE 100
City State/Province/Country ZIP/Postal Code
PARMA OHIO 44129
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KENTUCKY
Recipient
Recipient CRD Number    None
Andy Roller 4440500
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CFD INVESTMENTS, INC. 25427
Street Address 1 Street Address 2
2704 S GOYER RD
City State/Province/Country ZIP/Postal Code
KOKOMO INDIANA 46902
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
Recipient
Recipient CRD Number    None
Todd Andritsch 4587201
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PROEQUITIES, INC. 15708
Street Address 1 Street Address 2
10051 WILD TURKEY ROW
City State/Province/Country ZIP/Postal Code
MCCORDSVILLE INDIANA 46055
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
Recipient
Recipient CRD Number    None
Steven Cochlan 1073586
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LPL FINANCIAL LLC 6413
Street Address 1 Street Address 2
1 WALKER AVE
City State/Province/Country ZIP/Postal Code
CLAREDON HILLS ILLINOIS 60514
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
Recipient
Recipient CRD Number    None
Alan Meltzer 1092083
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MML INVESTORS SERVICES, LLC 10409
Street Address 1 Street Address 2
6500 ROCK SPRING DRIVE SUITE 400
City State/Province/Country ZIP/Postal Code
BETHESDA MARYLAND 20817
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
Matthew E Schiff 2081669
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VALMARK SECURITIES, INC. 31243
Street Address 1 Street Address 2
51 HADDONFIELD RD. SUITE 125
City State/Province/Country ZIP/Postal Code
CHERRY HILL NEW JERSEY 08002
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Michael Bremer 1728513
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA BROKERAGE SERVICES, INC. 13941
Street Address 1 Street Address 2
5308 BREAKERS WAY
City State/Province/Country ZIP/Postal Code
CARMEL INDIANA 46033
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
INDIANA
OHIO
Recipient
Recipient CRD Number    None
Lynn Butkus 1776381
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
NEW MEXICO
OREGON
Recipient
Recipient CRD Number    None
Ronald Paulseen 358288
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE SECURITIES LLC 5167
Street Address 1 Street Address 2
281 TRESSER BLVD. SUITE 1110
City State/Province/Country ZIP/Postal Code
STAMFORD CONNECTICUT 06901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KANSAS
Recipient
Recipient CRD Number    None
Aeramy Paulseen 4317087
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE SECURITIES LLC 5167
Street Address 1 Street Address 2
281 TRESSER BLVD. SUITE 1110
City State/Province/Country ZIP/Postal Code
STAMFORD CONNECTICUT 06901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KANSAS
Recipient
Recipient CRD Number    None
Karl Marzocchi 322028
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA BROKERAGE SERVICES, INC. 13941
Street Address 1 Street Address 2
3393 DIAMOND HILL RD
City State/Province/Country ZIP/Postal Code
CUMBERLAND RHODE ISLAND 02864
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW HAMPSHIRE
Recipient
Recipient CRD Number    None
Everett Noack 1491187
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
BOSC, INC 17530
Street Address 1 Street Address 2
4220 N. RODNEY PARHAM RD SUITE 300
City State/Province/Country ZIP/Postal Code
LITTLE ROCK ARKANSAS 72212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
OREGON
WEST VIRGINIA
Recipient
Recipient CRD Number    None
William Chatfield 1053051
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.Alden Associates, Inc. 40002
Street Address 1 Street Address 2
261 Old York Road Suite 837
City State/Province/Country ZIP/Postal Code
Jenkintown PENNSYLVANIA 19046
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MISSOURI
OKLAHOMA
Recipient
Recipient CRD Number    None
Brian Sheldon 4709079
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J. Alden Associates, Inc. 40002
Street Address 1 Street Address 2
261 Old York Road Suite 837
City State/Province/Country ZIP/Postal Code
Jenkintown PENNSYLVANIA 19046
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MISSOURI
Recipient
Recipient CRD Number    None
Bryant Kirk 1049653
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities, Inc. 43803
Street Address 1 Street Address 2
2100 Ross Avenue Suite 2200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75201-7906
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
DELAWARE
Recipient
Recipient CRD Number    None
J. Dave Hunter 253478
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Gerald Middel 333791
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Cameron McElhany 5640818
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE Securities LLC 5167
Street Address 1 Street Address 2
281 Tressler Blvd. Suite 1110
City State/Province/Country ZIP/Postal Code
Stamford CONNECTICUT 06901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Arnold Winick 5246949
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.Alden Associates, Inc. 40002
Street Address 1 Street Address 2
261 Old York Road Suite 837
City State/Province/Country ZIP/Postal Code
Jenkintown PENNSYLVANIA 19046
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MAINE
MASSACHUSETTS
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Joseph Kelly 1542651
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
1250 Tower Lane
City State/Province/Country ZIP/Postal Code
Erie PENNSYLVANIA 16505
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Charles Provow 709844
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 N W Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Richard Deutsch 1190666
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
HBW Securities LLC 136959
Street Address 1 Street Address 2
6802 Paragon Place Suite 126
City State/Province/Country ZIP/Postal Code
Richmond VIRGINIA 23230
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Donald Curristan 3049436
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 N.W. Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
John Moreno 3132915
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA Brokerage Services, Inc. 13941
Street Address 1 Street Address 2
2009 E Cedar Pl
City State/Province/Country ZIP/Postal Code
Chandler ARIZONA 85249
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
COLORADO
MICHIGAN
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Lon P. Haines 4839815
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independence Capital Co., Inc. 24723
Street Address 1 Street Address 2
5579 Pearl Road Suite 100
City State/Province/Country ZIP/Postal Code
Parma OHIO 44129
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KENTUCKY
Recipient
Recipient CRD Number    None
Andrew Roquet 5480983
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA Brokerage Services, Inc. 13941
Street Address 1 Street Address 2
5710 Mineral Point Road
City State/Province/Country ZIP/Postal Code
Madison WISCONSIN 53719
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
MINNESOTA
MISSOURI
NORTH DAKOTA
SOUTH DAKOTA
WISCONSIN
Recipient
Recipient CRD Number    None
Ronald Krizek 807430
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
500 Elm Grove Road Suite 103
City State/Province/Country ZIP/Postal Code
Elm Grove WISCONSIN 53122
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Scott Krizek 2435201
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
500 Elm Grove Road Suite 103
City State/Province/Country ZIP/Postal Code
Elm Grove WISCONSIN 53122
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Bruce Bauer 1210726
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA Brokerage Services, Inc. 13941
Street Address 1 Street Address 2
7769 E Overlook Drive
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85255
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
HAWAII
NEW MEXICO
VIRGINIA
Recipient
Recipient CRD Number    None
Michael Downey 2944180
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA Brokerage Services, Iinc. 13941
Street Address 1 Street Address 2
753 Masons Beach
City State/Province/Country ZIP/Postal Code
Deale MARYLAND 20751
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
PENNSYLVANIA
VIRGINIA
WEST VIRGINIA
Recipient
Recipient CRD Number    None
Richard J Brock 1209197
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP SECURITIES, INC. 42046
Street Address 1 Street Address 2
1816 EAST SEVENTH STREET
City State/Province/Country ZIP/Postal Code
CHARLOTTE NORTH CAROLINA 28204
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
NEBRASKA
Recipient
Recipient CRD Number    None
George Diamantis 1311320
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LPL FINANCIAL LLC 6413
Street Address 1 Street Address 2
3580 PIERCE DRIVE SUITE 100
City State/Province/Country ZIP/Postal Code
CHAMBLEE GEORGIA 30341
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number    None
Mark Wilson 2049281
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CUNA BROKERAGE SERVICES, INC. 13941
Street Address 1 Street Address 2
4284 SADDLEWOOD FOREST DRIVE
City State/Province/Country ZIP/Postal Code
WINSTON SALEM NORTH CAROLINA 27106
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number    None
Louis C. Ciliberti 2074634
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. 18487
Street Address 1 Street Address 2
1800 WALT WHITMAN RD SUITE 100
City State/Province/Country ZIP/Postal Code
MELVILLE NEW YORK 11747
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
Recipient
Recipient CRD Number    None
Richard Brock 1209197
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP SECURITIES, INC. 42046
Street Address 1 Street Address 2
2106 28TH ST CRT NW
City State/Province/Country ZIP/Postal Code
GIG HARBOR WASHINGTON 98335
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
KENTUCKY
Recipient
Recipient CRD Number    None
James Cheney 45355
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Mark W. Boomgaarden 3121019
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Douglas P. Dreyer 4007479
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NORTWESTERN MUTUAL INVESTMENT SERVICES, LLC 2881
Street Address 1 Street Address 2
875 3rd Ave FL 23
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10022
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Scott Richardson 3192397
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
HOULIHAN LOKEY CAPITAL, INC. 17708
Street Address 1 Street Address 2
225 SOUTH 6th STREET SUITE 4950
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
MICHIGAN
OHIO
Recipient
Recipient CRD Number    None
PAUL E. EVANS 713063
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SECURITIES AMERICA, INC. 10205
Street Address 1 Street Address 2
16677 DULUTH AVE. SE
City State/Province/Country ZIP/Postal Code
PRIOR LAKE MINNESOTA 55372
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
DAVID A. SOCZEK 2316655
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PROEQUITIES, INC. 15708
Street Address 1 Street Address 2
1550 UTICA AVENUE SOUTH SUITE 400
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Shirley Ann Huang McMillan 2027520
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities, Inc. 43285
Street Address 1 Street Address 2
1125 NW Couch St. Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
OREGON

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $658,273,724 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

14. Investors

  
 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
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:
248

15. Sales Commissions & Finder's 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.

Sales Commissions $40,000,000 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

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.

$0 USD
   Estimate

Clarification of Response (if Necessary):

As the issuer of the variable life insurance policies, JH Life Insurance Company (USA) will receive amounts from charges deducted under policies, but no executive officer, director, or promoter will receive any portion of the gross offering proceeds.

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • 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, in the accordance with applicable law, the information furnished to offerees.*
  • 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 the issuer 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.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).

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.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
John Hancock Life Insurance Co (U.S.A.) Separate Account P /s/ James C. Hoodlet James C. Hoodlet Vice President, John Hancock Life Insurance Company (U.S.A.) 2015-12-11

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.