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 |
|
Entity Type |
| 0001257734 |
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| X |
Other (Specify) |
Insurance Company Separate Account |
| Name of Issuer |
|---|
| LINCOLN LIFE FLEXIBLE PREMIUM VARIABLE LIFE ACCOUNT Z |
| Jurisdiction of Incorporation/Organization |
|---|
| INDIANA |
| 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 |
|---|
| LINCOLN LIFE FLEXIBLE PREMIUM VARIABLE LIFE ACCOUNT Z |
| Street Address 1 |
Street Address 2 |
| 1300 South Clinton Street |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| Fort Wayne |
INDIANA |
46802 |
1-800-454-6265 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Cooper |
Ellen |
| Street Address 1 |
Street Address 2 |
| 150 North Radnor Chester Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Radnor |
PENNSYLVANIA |
19087 |
| Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Beizer |
Craig |
| Street Address 1 |
Street Address 2 |
| 150 North Radnor Chester Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Radnor |
PENNSYLVANIA |
19087 |
| Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Neczypor |
Christopher |
M |
| Street Address 1 |
Street Address 2 |
| 150 North Radnor Chester Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Radnor |
PENNSYLVANIA |
19087 |
| Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Wilmer |
Eric |
B |
| Street Address 1 |
Street Address 2 |
| 1300 South Clinton Street |
| City |
State/Province/Country |
ZIP/PostalCode |
| Fort Wayne |
INDIANA |
46802 |
| Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Bronchetti |
Jayson |
R. |
| Street Address 1 |
Street Address 2 |
| 150 North Radnor Chester Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Radnor |
PENNSYLVANIA |
19087 |
| Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| X |
Insurance |
| |
Investing |
| |
Investment Banking |
| |
Pooled Investment Fund |
|
|
|
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
|
|
|
|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
|
|
|
|
|
Retailing |
|
Restaurants |
|
Technology |
|
|
|
|
|
|
|
Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
|
|
|
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 |
| X |
Decline to Disclose |
|
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 506(b) |
|
| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| X |
Investment Company Act Section 3(c) |
|
| X |
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) |
|
|
|
7. Type of Filing
| X |
New Notice |
|
Date of First Sale |
2007-02-01 |
|
|
First Sale Yet to Occur |
| |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
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) |
|
Interest in 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? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$1,000,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew P. Kraus |
2180309 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Merrill Lynch |
7691 |
| Street Address 1 |
Street Address 2 |
| 4800 Deer Lake Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jacksonville |
FLORIDA |
32246 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William E. Schantz II |
1923047 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M. Holdings Securities, Inc. |
43285 |
| Street Address 1 |
Street Address 2 |
| 205 S. E. Spokane Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97202-6413 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| PENNSYLVANIA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William J. Folan |
1881520 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Executive Services Securities, Inc. |
25299 |
| Street Address 1 |
Street Address 2 |
| 3445 Peachtreet Road NE |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30326-1156 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DISTRICT OF COLUMBIA |
| GEORGIA |
| NEW YORK |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Raymond Vandegrift, Sr |
4384430 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Advisors, LLC |
6627 |
| Street Address 1 |
Street Address 2 |
| 40 Monument Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| GEORGIA |
| MARYLAND |
| NEW JERSEY |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jimmy Edwards |
4342552 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M. Holdings Securities, Inc. |
43285 |
| Street Address 1 |
Street Address 2 |
| 205 S. E. Spokane Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| PENNSYLVANIA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian J. Burns |
1548913 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Morgan Stanley DW Inc |
149777 |
| Street Address 1 |
Street Address 2 |
| Harborside Fincl. Center Plaza II |
34 Exchange Pl. Fl. 7 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jersey City |
NEW JERSEY |
07311 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| FLORIDA |
| GEORGIA |
| NEW JERSEY |
| NEW YORK |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael D. Marchiano |
4663748 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Morgan Stanley DW Inc. |
149777 |
| Street Address 1 |
Street Address 2 |
| Harborside Fincl. Center Plaza II |
34 Exchange Pl. Fl. 7 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jersey City |
NEW JERSEY |
07311 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| MASSACHUSETTS |
| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Wittenmyer |
2409548 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AON Executive Benefits, Inc. |
4138 |
| Street Address 1 |
Street Address 2 |
| 365 Piedmont Road NE |
One Piedmont Center, Suite 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter T. Scott |
4013005 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MMA Securities |
44254 |
| Street Address 1 |
Street Address 2 |
| Eight Tower Bridge |
Ste. 1200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Conshohocken |
PENNSYLVANIA |
19428 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael D. Shannon |
1314743 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Newport Group, Inc. |
29722 |
| Street Address 1 |
Street Address 2 |
| 300 International Parkway |
Suite 270 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Heathrow |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| NORTH CAROLINA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Charles Steinberg |
1624429 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Aon Consulting, Inc. |
4138 |
| Street Address 1 |
Street Address 2 |
| 3565 Piedmont Road |
NE. Bldg. 1 Ste. 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30335 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| ILLINOIS |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Randall Craig Long |
1147693 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cetera Advisors LLC |
10299 |
| Street Address 1 |
Street Address 2 |
| 35980 Woodward Avenue |
Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bloomfield Hills |
MICHIGAN |
48304 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William R. Holton |
1034277 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northwestern Mutual Investment Services |
2881 |
| Street Address 1 |
Street Address 2 |
| 611 E. Wisconsin Avenue |
E131 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Milwaukee |
WISCONSIN |
53202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John Teti |
1018336 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Advisors |
6627 |
| Street Address 1 |
Street Address 2 |
| Belmont Avenue |
Ste 1100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MARYLAND |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| UTAH |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| George V. Blaha |
1611833 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northwestern Mutual Investment Services |
2881 |
| Street Address 1 |
Street Address 2 |
| 611 E. Wisconsin Avenue |
E131 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Milwaukee |
WISCONSIN |
53202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VERMONT |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Bruce Hamilton Brownwell |
1779959 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial |
165828 |
| Street Address 1 |
Street Address 2 |
| 216 Clatter Bridge Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ponte Vedra Beach |
FLORIDA |
32081 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| NEW YORK |
| NORTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian Donofry |
2820997 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Kestra Investments |
42046 |
| Street Address 1 |
Street Address 2 |
| 2600 Kelly Road |
Ste. 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Warrington |
PENNSYLVANIA |
18976 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James S Bosely |
4498362 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M. Holdings Securities Inc. |
43285 |
| Street Address 1 |
Street Address 2 |
| 205 Spokane Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KENTUCKY |
| LOUISIANA |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| OKLAHOMA |
| OREGON |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nick Della Vedova |
2884873 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NFP Securities |
42046 |
| Street Address 1 |
Street Address 2 |
| 1250 Capital Texas Pkwy |
Suite 2125 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| DELAWARE |
| GEORGIA |
| LOUISIANA |
| NEW HAMPSHIRE |
| NEW YORK |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert C. Whittington |
2661019 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UBS Financial Services |
8174 |
| Street Address 1 |
Street Address 2 |
| 1000 Harbor Blvd. |
7th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Weehawken |
NEW JERSEY |
07070 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gary Block |
1666471 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors |
25803 |
| Street Address 1 |
Street Address 2 |
| 4000 Midlantic Drive |
Ste. 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mount Laurel |
NEW JERSEY |
08054 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gavin E. Blaha |
6305001 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northwestern Mutual Investments Services, LLC |
2881 |
| Street Address 1 |
Street Address 2 |
| 25125 Detroit Road |
Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake |
OHIO |
44145 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| DISTRICT OF COLUMBIA |
| GEORGIA |
| INDIANA |
| IOWA |
| KENTUCKY |
| MAINE |
| MINNESOTA |
| NEW YORK |
| OHIO |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Trent Sanden |
2877664 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UBS Financial Services |
8174 |
| Street Address 1 |
Street Address 2 |
| 925 4th Avenue |
31st & 32nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Seattle |
WASHINGTON |
98104 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| IOWA |
| MASSACHUSETTS |
| MICHIGAN |
| MONTANA |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John M. Nash |
2710517 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Merrill Lynch |
7691 |
| Street Address 1 |
Street Address 2 |
| 4800 Deer Lake Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| E. Jacksonville |
FLORIDA |
32246 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| GEORGIA |
| NEW JERSEY |
| UTAH |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Maurice Storch |
2555824 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Merrill Lynch |
7691 |
| Street Address 1 |
Street Address 2 |
| 4800 Deer Lake |
| City |
State/Province/Country |
ZIP/Postal Code |
| E. Jacksonville |
FLORIDA |
32246 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew Wilshinsky |
2153192 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Morgan Stanley |
149777 |
| Street Address 1 |
Street Address 2 |
| One Penn Plaz |
43rd floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10119 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott Lane |
1909638 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northwester Mutual Investment Services |
2881 |
| Street Address 1 |
Street Address 2 |
| 611 E. Wisconsin Ave |
E131 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Milwaukee |
WISCONSIN |
53202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Shawn Hintz |
2626246 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UBS Financial Services |
8174 |
| Street Address 1 |
Street Address 2 |
| 925 4th Avenue |
31 & 32 Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Seattle |
WASHINGTON |
98104 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| IOWA |
| MASSACHUSETTS |
| MICHIGAN |
| MONTANA |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joseph Notarfrancesco |
6006136 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Morgan Stanley |
149777 |
| Street Address 1 |
Street Address 2 |
| One Penn Plaza |
43rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10119 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| ILLINOIS |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Cammack |
2752356 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Group Securities |
29722 |
| Street Address 1 |
Street Address 2 |
| 8350 North Central Expressway |
Suite 900 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75206 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| LOUISIANA |
| MASSACHUSETTS |
| MICHIGAN |
| MISSISSIPPI |
| MISSOURI |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Adam C. Monson |
6037491 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Valmark Securities, Inc |
31243 |
| Street Address 1 |
Street Address 2 |
| 600 36th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92663 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| GEORGIA |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew P. Arigo |
2949837 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Group Securities, Inc. |
29722 |
| Street Address 1 |
Street Address 2 |
| 300 International Parkway |
Suite 270 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Heathrow |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| FLORIDA |
| MISSISSIPPI |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kirk Penland |
3203257 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VOYA Financial Partners |
34815 |
| Street Address 1 |
Street Address 2 |
| 7638 Southfront Road |
Ste. 120 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Livermore |
CALIFORNIA |
94551 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Corby N. Dall |
2060321 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Linsco/Private Ledger |
6413 |
| Street Address 1 |
Street Address 2 |
| 97885 Towne Centre Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92121-1968 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Bryant Kirk |
1049653 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capacuity Securities, Inc. |
15384 |
| Street Address 1 |
Street Address 2 |
| 300 International Parkway |
Ste. 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Mary |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MISSOURI |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Phillip L. Currie, Jr. |
1942867 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Valmark Securities |
31243 |
| Street Address 1 |
Street Address 2 |
| 130 Springside Drive |
Number 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Akron |
OHIO |
44333 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Rhonda Miller |
2817273 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M. Holdings Securities, Inc. |
43285 |
| Street Address 1 |
Street Address 2 |
| 205 S.E. Spokane Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97202-6413 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| MARYLAND |
| MASSACHUSETTS |
| NEW YORK |
| NORTH CAROLINA |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mihir Patel |
4587238 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Morgan Stanley |
149777 |
| Street Address 1 |
Street Address 2 |
| One Penn Plaza |
43rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10119 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Wilson Bailey |
2327900 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capfinancial Securities |
126291 |
| Street Address 1 |
Street Address 2 |
| 4208 Six Forks Road |
Ste. 1700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Raleigh |
NORTH CAROLINA |
27609 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| FLORIDA |
| INDIANA |
| MICHIGAN |
| NORTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian M. Sharkey |
1623328 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Advisors |
6627 |
| Street Address 1 |
Street Address 2 |
| 40 Monument Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARKANSAS |
| CALIFORNIA |
| DELAWARE |
| ILLINOIS |
| IOWA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MONTANA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH DAKOTA |
| UTAH |
| VERMONT |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert J. Rainey |
1794685 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial |
165828 |
| Street Address 1 |
Street Address 2 |
| 12056 N. Saltaire Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Highland |
UTAH |
84003 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARKANSAS |
| CALIFORNIA |
| HAWAII |
| LOUISIANA |
| NEVADA |
| NORTH CAROLINA |
| PENNSYLVANIA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kenneith G. Gibson |
1192002 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial |
165828 |
| Street Address 1 |
Street Address 2 |
| 12056 N. Saltaire Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Highland |
UTAH |
84003 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NORTH CAROLINA |
| PENNSYLVANIA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Craig A. Rutledge |
1800720 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial |
16528 |
| Street Address 1 |
Street Address 2 |
| 12056 N. Saltine Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Highland |
UTAH |
84003 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kelley F. Snook |
2437169 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors |
25803 |
| Street Address 1 |
Street Address 2 |
| 3254 University Drive |
Suite 190 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Auburn Hills |
MICHIGAN |
48326 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas E. Miller |
856008 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial |
165828 |
| Street Address 1 |
Street Address 2 |
| 12056 N. Saltaire Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Highland |
UTAH |
84003 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARKANSAS |
| CALIFORNIA |
| DELAWARE |
| HAWAII |
| IOWA |
| LOUISIANA |
| NORTH CAROLINA |
| PENNSYLVANIA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sean P. Devlin |
2782108 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Group Securities, Inc. |
29722 |
| Street Address 1 |
Street Address 2 |
| 300 International Parkway |
Suite 270 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Heathrow |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| KANSAS |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| RHODE ISLAND |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew A. Goldman |
1023255 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Advisors, LLC |
6627 |
| Street Address 1 |
Street Address 2 |
| 40 Monument Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| MARYLAND |
| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew D. Rubin |
1009086 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Advisors, LLC |
6627 |
| Street Address 1 |
Street Address 2 |
| 40 Monumnet Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| ILLINOIS |
| MASSACHUSETTS |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Anthony E. Vandervort |
1744783 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Advisors, LLC |
6627 |
| Street Address 1 |
Street Address 2 |
| 40 Monument Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NORTH CAROLINA |
| PENNSYLVANIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| George W. Karr Jr. |
264570 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Advisors, LLC |
6627 |
| Street Address 1 |
Street Address 2 |
| 40 Monument Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| DELAWARE |
| ILLINOIS |
| KANSAS |
| MARYLAND |
| MINNESOTA |
| MONTANA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| VERMONT |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Curt Williams Burris |
2751954 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Group Securities, Inc. |
29722 |
| Street Address 1 |
Street Address 2 |
| 300 International Parkway |
Ste. 270 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Heathrow |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| LOUISIANA |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael D. Whitehurst |
2609943 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Merrill Lynch, Pierce, Fenner & Smith |
7691 |
| Street Address 1 |
Street Address 2 |
| 200 Concord Plaza Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Antonio |
TEXAS |
78216 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MICHIGAN |
| MINNESOTA |
| NEW MEXICO |
| NORTH CAROLINA |
| NORTH DAKOTA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael W. Kozemchak |
2717038 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Linsco/Private Ledger |
6413 |
| Street Address 1 |
Street Address 2 |
| 9785 Towne Centre Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92121 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| IOWA |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Fred Hill |
3035352 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Executive Services Securities, LLC |
25299 |
| Street Address 1 |
Street Address 2 |
| 3445 Peachtree Road NE |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30326 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| IOWA |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| NEBRASKA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Michael E. Nolan |
1157483 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LFA |
3978 |
| Street Address 1 |
Street Address 2 |
| 6720-B Rockledge Drive |
Suite 140 |
| 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 |
|
|
| ALASKA |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW JERSEY |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Patricia S. Wenzel |
2208651 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Merrill Lynch |
7691 |
| Street Address 1 |
Street Address 2 |
| 1221 McKinney Sreet |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77010 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Diane Hart |
3058773 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UBS Financial |
8174 |
| Street Address 1 |
Street Address 2 |
| 251 South Lake Avenue |
10th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pasadena |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| MASSACHUSETTS |
| MINNESOTA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Luther Lockwood II |
2082331 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M Holdings Securities |
43285 |
| Street Address 1 |
Street Address 2 |
| 10017 E. Morehead Street |
Suite 100 |
| 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 |
|
|
| ALASKA |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| NORTH CAROLINA |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Paul Stephens |
220491 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Linsco/Private Ledger |
6413 |
| Street Address 1 |
Street Address 2 |
| 9785 Towne Centre Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92121 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Roger Cammon |
1055486 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M Holdings Securities |
43285 |
| Street Address 1 |
Street Address 2 |
| Peabody Plaza 701 Market Street |
Suite 1200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Louis |
MISSOURI |
63101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARKANSAS |
| CALIFORNIA |
| FLORIDA |
| INDIANA |
| KANSAS |
| MINNESOTA |
| MISSOURI |
| MONTANA |
| NEVADA |
| NEW MEXICO |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter Quinn |
4545901 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wells Fargo Clearing Services |
19616 |
| Street Address 1 |
Street Address 2 |
| 1525 W.W.T. Harris Blvd. |
1A1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Charlotte |
NORTH CAROLINA |
28262 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| IDAHO |
| IOWA |
| KANSAS |
| MAINE |
| MASSACHUSETTS |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH DAKOTA |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| George Chirayil |
5951603 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors |
25803 |
| Street Address 1 |
Street Address 2 |
| 300 Madison Avenuye |
Floor 28 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York City |
NEW YORK |
10017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| COLORADO |
| DELAWARE |
| NEW YORK |
| NORTH DAKOTA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew L. Kuchera |
6690625 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors |
25803 |
| Street Address 1 |
Street Address 2 |
| 300 Madison Avenue |
Floor 28 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York City |
NEW YORK |
10017 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| COLORADO |
| DELAWARE |
| IOWA |
| MARYLAND |
| MICHIGAN |
| NEW YORK |
| NORTH DAKOTA |
| OKLAHOMA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Suzette Clark |
3153620 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lockton Financial Advisors |
137476 |
| Street Address 1 |
Street Address 2 |
| 444 W. 47th Street |
Suite 900 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kansas City |
MISSOURI |
64112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kenneth Depaola |
6312756 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Valmark Securities, Inc. |
31243 |
| Street Address 1 |
Street Address 2 |
| 150 South Wacker Drive |
Suite 2400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| ILLINOIS |
| INDIANA |
| MINNESOTA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott McGee |
4768668 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Group Securities |
29722 |
| Street Address 1 |
Street Address 2 |
| 300 Primera Blvd. |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Mary |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| LOUISIANA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gordon Thomas Chisholm |
2938261 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Valmark Securities |
31243 |
| Street Address 1 |
Street Address 2 |
| 150 South Wacker Drive |
Suite 2400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| ILLINOIS |
| KENTUCKY |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jesse Amarillas |
2755739 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UBS Financial |
8174 |
| Street Address 1 |
Street Address 2 |
| 251 South Lake Avenue |
10th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pasadena |
CALIFORNIA |
91101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lucia Fiumara |
2844301 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UBS Financial |
8174 |
| Street Address 1 |
Street Address 2 |
| 1 North Wacker Drive |
32nd and 33rd Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott John Seibel |
4047361 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capacuity Securities, Inc. |
15384 |
| Street Address 1 |
Street Address 2 |
| 300 International Parkway |
Ste. 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Mary |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| DELAWARE |
| FLORIDA |
| MASSACHUSETTS |
| NEW JERSEY |
| NORTH CAROLINA |
| PENNSYLVANIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Adriano James Pisarri |
5686886 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Network |
6627 |
| Street Address 1 |
Street Address 2 |
| 4251 Crums Mill Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Harrisburg |
PENNSYLVANIA |
17112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| TENNESSEE |
| UTAH |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Howard Adcock |
2861943 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Kestra |
42046 |
| Street Address 1 |
Street Address 2 |
| 311 N. Fletcher Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tampa |
FLORIDA |
33612 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| KANSAS |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kevin Segal |
3092034 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M Holdings |
43285 |
| Street Address 1 |
Street Address 2 |
| 1125 NW Couch Street |
Ste. 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 |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark McCullough |
2553351 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M Holdings |
43285 |
| Street Address 1 |
Street Address 2 |
| 1125 NW Couch Street |
Ste. 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 |
|
|
| FLORIDA |
| KANSAS |
| MISSOURI |
| OKLAHOMA |
| SOUTH DAKOTA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Russell McMillian |
4359650 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M Holdidngs |
43285 |
| Street Address 1 |
Street Address 2 |
| 1125 NW Couch Street |
Ste. 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 |
|
|
| MISSOURI |
| OREGON |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kevin Edward Kelly |
4585056 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Group |
29722 |
| Street Address 1 |
Street Address 2 |
| 300 Primera Blvd. |
Ste 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Mary |
FLORIDA |
32746 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alex Chivarsky |
5108596 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UBS Financial |
8174 |
| Street Address 1 |
Street Address 2 |
| 1999Avenue of the Stars |
Ste. 3600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90067 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian Thomas Rodger |
6937679 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Network |
6627 |
| Street Address 1 |
Street Address 2 |
| 4251 Crums Mill Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Harrisburg |
PENNSYLVANIA |
17112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| COLORADO |
| CONNECTICUT |
| GEORGIA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Walker W. Shiflet |
5527658 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Merrill Lynch |
7691 |
| Street Address 1 |
Street Address 2 |
| 4800 Deer Lake Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| E. Jacksonville |
FLORIDA |
32246 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas Mingone |
1987602 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AXA Network |
6627 |
| Street Address 1 |
Street Address 2 |
| 4251 Crums Mill Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Harrisburg |
PENNSYLVANIA |
17112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| IOWA |
| KANSAS |
| MAINE |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christopher Hannan Nuyland |
1613008 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Valmark Securities |
31243 |
| Street Address 1 |
Street Address 2 |
| 92 Hasell Street |
Ste. 217 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Charleston |
SOUTH CAROLINA |
29401 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| DISTRICT OF COLUMBIA |
| GEORGIA |
| HAWAII |
| MASSACHUSETTS |
| MINNESOTA |
| NEW JERSEY |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Andrew Lyon Hart |
4253077 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LPL Financial |
6413 |
| Street Address 1 |
Street Address 2 |
| 4707 Executive Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92121 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kenneth Alan Kirk |
735308 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lion Street Financial |
165828 |
| Street Address 1 |
Street Address 2 |
| 800 Battery Avenue SE |
Ste. 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30339 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MINNESOTA |
| MISSISSIPPI |
| NEVADA |
| NORTH CAROLINA |
| OHIO |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Robert Przybilla |
3183554 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Group Securities |
29722 |
| Street Address 1 |
Street Address 2 |
| 101 Centreport Drive |
Ste. 250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greensboro |
NORTH CAROLINA |
27409 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| COLORADO |
| DELAWARE |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| OHIO |
| OREGON |
| TEXAS |
| VIRGINIA |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Paul Gordon Walmsley |
6862301 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Morgan Stanley |
149777 |
| Street Address 1 |
Street Address 2 |
| 9665 Wilshire Blvd |
Ste. 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Beverly Hills |
CALIFORNIA |
90212 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| PUERTO RICO |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Shawn Anthony Besser |
5907215 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| M. Holdings Securities |
43285 |
| Street Address 1 |
Street Address 2 |
| 3333 Michelson Drive |
Ste. 820B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Richard David Fritz, Jr. |
2460475 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northwestern Mutual Investments |
2881 |
| Street Address 1 |
Street Address 2 |
| 833 E. Michigan Street |
Ste. 1480 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Milwaukee |
WISCONSIN |
53202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| IOWA |
| MICHIGAN |
| MINNESOTA |
| NEBRASKA |
| OREGON |
| PENNSYLVANIA |
| UTAH |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Patrick Joseph Marget |
4138813 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northwestern Mutual Investments |
2881 |
| Street Address 1 |
Street Address 2 |
| 833 E. Michigan street |
Ste. 1480 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Milwaukee |
WISCONSIN |
53202 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| FLORIDA |
| ILLINOIS |
| IOWA |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NORTH DAKOTA |
| OHIO |
| PENNSYLVANIA |
| SOUTH DAKOTA |
| TENNESSEE |
| UTAH |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Garrett Moore Blaha |
6193865 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northwestern Mutual Investments |
2881 |
| Street Address 1 |
Street Address 2 |
| 25125 detroit Road |
Ste. 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake |
OHIO |
44145 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| DISTRICT OF COLUMBIA |
| GEORGIA |
| INDIANA |
| IOWA |
| KENTUCKY |
| MAINE |
| MINNESOTA |
| NEW YORK |
| OHIO |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Sears |
5116777 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| UPS Financial Services |
8174 |
| Street Address 1 |
Street Address 2 |
| 100 Overlook Center |
Ste. 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Princeton |
NEW JERSEY |
08540 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MAINE |
| MARYLAND |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| VERMONT |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ryan Michael Stover |
4892742 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MMA Securities |
44254 |
| Street Address 1 |
Street Address 2 |
| 9171 Towne Centre Drive |
Ste. 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92122 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
13. Offering and Sales Amounts
| Total Offering Amount |
|
USD |
|
| Total Amount Sold |
$2,641,110,232
|
USD |
| Total Remaining to be Sold |
|
USD |
|
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: |
|
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 |
$98,449,428
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
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.
Clarification of Response (if Necessary):
As an issuer of the variable life insurance policies, The Lincoln National Life Ins. Co. will receive amounts from charges deducted under the 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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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 |
| LINCOLN LIFE FLEXIBLE PREMIUM VARIABLE LIFE ACCOUNT Z |
/s/Carolyn Augur |
Carolyn Augur |
Assistant Vice President |
2024-12-17 |
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.