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
X None
Entity Type
0001442128
   Corporation
X Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2008
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP
Street Address 1 Street Address 2
1301 MUNICIPAL WAY SUITE 100
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
GRAPEVINE TEXAS 76051 817-835-0650

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001442125
   Corporation
   Limited Partnership
X Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2008
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC
Street Address 1 Street Address 2
1301 MUNICIPAL WAY SUITE 100
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
GRAPEVINE TEXAS 76051 817-835-0650

3. Related Persons

Last Name First Name Middle Name
Etter Todd F
Street Address 1 Street Address 2
1301 Municipal Way Suite 100
City State/Province/Country ZIP/PostalCode
Grapevine TEXAS 76051
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Greenlaw Hollis M
Street Address 1 Street Address 2
1301 Municipal Way Suite 100
City State/Province/Country ZIP/PostalCode
Grapevine TEXAS 76051
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Wissink Ben L
Street Address 1 Street Address 2
1301 Municipal Way Suite 100
City State/Province/Country ZIP/PostalCode
Grapevine TEXAS 76051
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Obert Cara D
Street Address 1 Street Address 2
1301 Municipal Way Suite 100
City State/Province/Country ZIP/PostalCode
Grapevine TEXAS 76051
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Hagan Hillary
Street Address 1 Street Address 2
1301 Municipal Way Suite 100
City State/Province/Country ZIP/PostalCode
Grapevine TEXAS 76051
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    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
X 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
X $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    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 505
   Rule 504 (b)(1)(i) X Rule 506
   Rule 504 (b)(1)(ii)    Securities Act Section 4(5)
   Rule 504 (b)(1)(iii) 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)
X Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2008-07-18    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)

X 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    Other (describe)

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 $2,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
A. Ken Flake 209342
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc 14503
Street Address 1 Street Address 2
4606 FM 1960 West Suite 400
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77069
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
TEXAS
UTAH
Recipient
Recipient CRD Number    None
Andrew C. Bolt 1594587
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Harrison Douglas Inc. 16515
Street Address 1 Street Address 2
3025 South Parker Suite 801
City State/Province/Country ZIP/Postal Code
Aurora COLORADO 80014
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
TENNESSEE
TEXAS
Recipient
Recipient CRD Number    None
Anthony Lombardi 2921904
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial 30833
Street Address 1 Street Address 2
2177 Salk Avenue Suite 180
City State/Province/Country ZIP/Postal Code
Carlsbad CALIFORNIA 92008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MICHIGAN
Recipient
Recipient CRD Number    None
Robert Bragg 4767535
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
15435 Gleneagle Dr. Suite 210
City State/Province/Country ZIP/Postal Code
Colorado Springs COLORADO 80921
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
FLORIDA
VIRGINIA
Recipient
Recipient CRD Number    None
Robert Hinz 1026405
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
600 Stewart St. Suite 602
City State/Province/Country ZIP/Postal Code
Seattle WASHINGTON 98101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
WASHINGTON
Recipient
Recipient CRD Number    None
Robert Wamhoff 2082701
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
745 Dunn Road
City State/Province/Country ZIP/Postal Code
Hazelwood MISSOURI 63042
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
ILLINOIS
KENTUCKY
MISSOURI
NEW YORK
TEXAS
Recipient
Recipient CRD Number    None
Robert Tweed 2339324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CapWest Securities Inc. 30002
Street Address 1 Street Address 2
2060 Huntington Drive Suite 1
City State/Province/Country ZIP/Postal Code
San Marino CALIFORNIA 91108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Bradley R. Calley 4502601
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities Inc. 35567
Street Address 1 Street Address 2
1301 Municipal Way Suite 100
City State/Province/Country ZIP/Postal Code
Grapevine TEXAS 76051
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
Bryon Martinsen 1621649
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
220 Fort Salonga Rd. Suite 301C
City State/Province/Country ZIP/Postal Code
Northport NEW YORK 11768
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
NEW YORK
Recipient
Recipient CRD Number    None
Robert Setser 1005169
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Direct Capital Securities Inc. 29639
Street Address 1 Street Address 2
1250 S. Capital of Texas Highway Building 1, Suite 410
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number X None
Michael L. Sampson None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Eagle One Investments LLC 45254
Street Address 1 Street Address 2
401 Westview Court
City State/Province/Country ZIP/Postal Code
Washington IOWA 52353
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
Recipient
Recipient CRD Number    None
Dana Kellogg 2496097
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ePlanning Securities Inc. 46000
Street Address 1 Street Address 2
3721 Douglas Blvd. Suite 200
City State/Province/Country ZIP/Postal Code
Roseville CALIFORNIA 95661
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Brian H. Breuel 813742
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corporation 14754
Street Address 1 Street Address 2
6 Gordon Avenue
City State/Province/Country ZIP/Postal Code
Lawrenceville NEW JERSEY 08648
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number    None
Brian D. Day-Lewis 4513044
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital 30613
Street Address 1 Street Address 2
3 Roberge Drive
City State/Province/Country ZIP/Postal Code
Tyngsboro MASSACHUSETTS 01879
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Charles R. Byrnes III 2360145
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital 30613
Street Address 1 Street Address 2
230 Broadway East Suite 203
City State/Province/Country ZIP/Postal Code
Lynnfield MASSACHUSETTS 01940
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Ferdinand Dosono 2110497
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
National Securities Corporation 7569
Street Address 1 Street Address 2
2970 Haleko Rd. Suite 201
City State/Province/Country ZIP/Postal Code
Lihue HAWAII 96766
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Jalon OConnell 3005016
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
National Securities Corporation 7569
Street Address 1 Street Address 2
9300 Wilshire Blvd. Suite 420
City State/Province/Country ZIP/Postal Code
Beverly Hills CALIFORNIA 90212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
HAWAII
Recipient
Recipient CRD Number    None
Bruce M. Kimball 2576920
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
1720 Oak Village Suite 100
City State/Province/Country ZIP/Postal Code
Arlington TEXAS 76017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
OKLAHOMA
TEXAS
Recipient
Recipient CRD Number    None
Buster Godbee 2284452
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Legacy Securities 103722
Street Address 1 Street Address 2
101 Plaza Carmona Place Suite D
City State/Province/Country ZIP/Postal Code
Hot Springs ARKANSAS 71919
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
David M. Breedlove 1422471
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Legacy Securities 103722
Street Address 1 Street Address 2
1024 Pruitt Place
City State/Province/Country ZIP/Postal Code
Tyler TEXAS 75703
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number    None
David Theis 1422471
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corporation 14754
Street Address 1 Street Address 2
103 Marty Drive Suite 101
City State/Province/Country ZIP/Postal Code
Buffalo MINNESOTA 55313
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number X None
Michael Doherty None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corporation 14754
Street Address 1 Street Address 2
103 Marty Drive Suite 101
City State/Province/Country ZIP/Postal Code
Buffalo MINNESOTA 55313
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Deborah Deitering 729452
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities Inc. 35567
Street Address 1 Street Address 2
4205 Snug Harbor
City State/Province/Country ZIP/Postal Code
College Station TEXAS 77545
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Dennis Van Pater 1364583
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
7700 San Jacinto Place Suite 100
City State/Province/Country ZIP/Postal Code
Plano TEXAS 75024
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Dilip Shah 4565670
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Legacy Securities 103722
Street Address 1 Street Address 2
535 West Burnell Suite 120
City State/Province/Country ZIP/Postal Code
Lewisville TEXAS 75057
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Donald J. Beary 15818
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
8620 W. 110th St.
City State/Province/Country ZIP/Postal Code
Overland Park KANSAS 66210
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KANSAS
Recipient
Recipient CRD Number    None
Dorann Hurley 1782641
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
111 SW 4th St.
City State/Province/Country ZIP/Postal Code
Corvallis OREGON 97333
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
COLORADO
KANSAS
NEVADA
NEW MEXICO
OREGON
SOUTH DAKOTA
TEXAS
WASHINGTON
Recipient
Recipient CRD Number X None
Douglas K. Van Allen None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
111 SW 4th St.
City State/Province/Country ZIP/Postal Code
Corvallis OREGON 97333
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Gary Tad Lindsey 2398788
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corporation 14754
Street Address 1 Street Address 2
132 E. 500 South Suite 1
City State/Province/Country ZIP/Postal Code
Bountiful UTAH 84010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Gregory M. Ellis 4046935
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
6421 Perkins Suite 1A
City State/Province/Country ZIP/Postal Code
Baton Rouge LOUISIANA 70808
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
LOUISIANA
Recipient
Recipient CRD Number    None
Jeannette Glaza 1363844
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
15435 Gleneagle Dr. Suite 210
City State/Province/Country ZIP/Postal Code
Colorado Springs COLORADO 80921
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Jeffrey Nesseth 1983482
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corporation 14754
Street Address 1 Street Address 2
7000 Central Parkway NE Suite 1340
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30328
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
GEORGIA
IOWA
NEVADA
Recipient
Recipient CRD Number X None
Jeffrey Ausgburger None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corporation 14754
Street Address 1 Street Address 2
One Valmont Plaza 4th Floor
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Jesse Griffin Jr. 1165095
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
2646 Southwest Mapp Rd. Suite 104
City State/Province/Country ZIP/Postal Code
Palm City FLORIDA 34990
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
MAINE
NEW JERSEY
TEXAS
Recipient
Recipient CRD Number    None
Jim Armagost 7157
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
803 West 25th St.
City State/Province/Country ZIP/Postal Code
Kearney NEBRASKA 68845
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
MINNESOTA
NEBRASKA
WYOMING
Recipient
Recipient CRD Number    None
John Gorely 225973
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
182 Mine Lake Court Suite 100
City State/Province/Country ZIP/Postal Code
Raleigh NORTH CAROLINA 27615
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DISTRICT OF COLUMBIA
GEORGIA
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Ken Klespies 1258664
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
2212 Muirfield Way
City State/Province/Country ZIP/Postal Code
Oldsmar FLORIDA 34677
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
INDIANA
Recipient
Recipient CRD Number    None
Kevin Yaley 2893171
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher and Company Financial Services 13609
Street Address 1 Street Address 2
401 Jefferson St.
City State/Province/Country ZIP/Postal Code
Burlington IOWA 52601
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
Recipient
Recipient CRD Number    None
Kim Kopacka 3153396
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities Inc. 35567
Street Address 1 Street Address 2
21 Kercheval Avenue Suite 320B
City State/Province/Country ZIP/Postal Code
Gross Point Farms MICHIGAN 48236
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
GEORGIA
ILLINOIS
INDIANA
MICHIGAN
VIRGINIA
Recipient
Recipient CRD Number    None
Kris Etter 4562123
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities Inc. 35567
Street Address 1 Street Address 2
10205 Westheimer Suite 500
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77042
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Megan Schneider 4458332
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
111 SW 4th St.
City State/Province/Country ZIP/Postal Code
Corvallis OREGON 97333
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
MF Long II 1778299
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
5800 Granite Parkway Suite 100
City State/Province/Country ZIP/Postal Code
Plano TEXAS 75024
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Michael Staines 5303142
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher and Company Financial Services Inc. 13609
Street Address 1 Street Address 2
300 Harding Blvd. Suite 209
City State/Province/Country ZIP/Postal Code
Roseville CALIFORNIA 95678
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ARIZONA
CALIFORNIA
NEW JERSEY
Recipient
Recipient CRD Number    None
Mike Henry 243365
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Legacy Securities 103722
Street Address 1 Street Address 2
2028 E. Ben White Blvd. Suite 500
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78741
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Nir Regev 1847410
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
261 Clarkson Executive Park
City State/Province/Country ZIP/Postal Code
Ellisville MISSOURI 63011
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
Paul Burkemper 2222925
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
10825 Watson Rd. Suite 100
City State/Province/Country ZIP/Postal Code
St. Louis MISSOURI 63127
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
Randy Stevenson 2114058
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
719 W. Front St. Suite 176
City State/Province/Country ZIP/Postal Code
Tyler TEXAS 75702
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Robert J. Kramer 1715096
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
2116 N. Court Suite 1
City State/Province/Country ZIP/Postal Code
Ottumwa IOWA 52501
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
IOWA
Recipient
Recipient CRD Number    None
John Redfearn III 2771876
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corporation 14754
Street Address 1 Street Address 2
7000 Central Parkway NE Suite 1340
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30328
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
GEORGIA
MISSOURI
NEVADA
Recipient
Recipient CRD Number    None
Russell Childs 1192883
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Legacy Securities 103722
Street Address 1 Street Address 2
4100 Spring Valley Rd. Suite 500
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75244
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Ryan Benning 4205469
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher and Company Financial Services 13609
Street Address 1 Street Address 2
931 S. Washington St. Suite 1
City State/Province/Country ZIP/Postal Code
Bismark NORTH DAKOTA 58504
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
NORTH DAKOTA
Recipient
Recipient CRD Number    None
Shawn Davis 2911230
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher and Company Financial Services 13609
Street Address 1 Street Address 2
300 Harding Blvd. Suite 209
City State/Province/Country ZIP/Postal Code
Roseville CALIFORNIA 95678
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number X None
Steven Shirley None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services 14503
Street Address 1 Street Address 2
8620 W. 110th St. Suite 200
City State/Province/Country ZIP/Postal Code
Overland Park KANSAS 66210
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Terry L. Sonnenfeld 2216263
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
902 E. 2nd Street Suite 150
City State/Province/Country ZIP/Postal Code
Winona MINNESOTA 55987
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Allan W. Cranfill 2346578
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
3601 North Robison Road
City State/Province/Country ZIP/Postal Code
Texarkana TEXAS 75501
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Mikiel R. Featherston 1885948
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
7200 North Mopac Expressway Suite 320
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78731
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Lisa Allen 1198978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
7200 North Mopac Expressway Suite 320
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78731
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Alvery A. Bartlett Jr. 13975
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher and Company Financial Services Inc. 13609
Street Address 1 Street Address 2
8000 Maryland Avenue Suite 1031
City State/Province/Country ZIP/Postal Code
St. Louis MISSOURI 63105
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
MISSOURI
NEVADA
Recipient
Recipient CRD Number    None
Andrew J. Crabb 3077317
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
9055 E. Mineral Circle Suite 200
City State/Province/Country ZIP/Postal Code
Centennial COLORADO 80112
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
William M. Conroy III 1345235
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
600 Stewart Street Suite 602
City State/Province/Country ZIP/Postal Code
Seattle WASHINGTON 98101
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Richard M. Braverman 1023227
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management Inc. 120894
Street Address 1 Street Address 2
2173 Embassy Drive
City State/Province/Country ZIP/Postal Code
Lancaster PENNSYLVANIA 17603
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Samuel R. Monchik 4113886
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management Inc. 120894
Street Address 1 Street Address 2
2173 Embassy Drive
City State/Province/Country ZIP/Postal Code
Lancaster PENNSYLVANIA 17603
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Brian M. Borakowski 4093679
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher and Company Financial Services Inc. 13609
Street Address 1 Street Address 2
936 N 87th Place
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85257
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Charles E. Ohara 735399
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Symetra Investment Services Inc. 19061
Street Address 1 Street Address 2
342 Broadway
City State/Province/Country ZIP/Postal Code
Newport RHODE ISLAND 02840
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
RHODE ISLAND
Recipient
Recipient CRD Number    None
Charles R. Elhoff Jr. 76936
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
1000 Ballpark Way Suite 214
City State/Province/Country ZIP/Postal Code
Arlington TEXAS 76011
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Charles R. Fischer 1186289
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities Inc. 35567
Street Address 1 Street Address 2
1500 Valley River Dr. Suite 315
City State/Province/Country ZIP/Postal Code
Eugene OREGON 97401
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Cheri L. Johnson 2823107
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kaiser and Company 14186
Street Address 1 Street Address 2
5790 Soundview Drive Suite 201A
City State/Province/Country ZIP/Postal Code
Gig Harbor WASHINGTON 14186
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Christopher I. Hall 4654096
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
2826 NW Windham LP
City State/Province/Country ZIP/Postal Code
Bend OREGON 97701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Charles R. Bigbie III 1158301
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management Inc. 120894
Street Address 1 Street Address 2
7233 S 85th E Avenue Suite 400
City State/Province/Country ZIP/Postal Code
Tulsa OKLAHOMA 74133
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OKLAHOMA
Recipient
Recipient CRD Number    None
Denton L. Smith 427316
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management Inc. 120894
Street Address 1 Street Address 2
64 East Broadway Suite 215
City State/Province/Country ZIP/Postal Code
Tempe ARIZONA 85282
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Elizabeth R. Huckeby 4061056
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
357 S. McCaslin Blvd Suite 200
City State/Province/Country ZIP/Postal Code
Louisville COLORADO 80027
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Eric P. Weschke 2486324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alternative Wealth Strategies 130933
Street Address 1 Street Address 2
11 Dorn Court
City State/Province/Country ZIP/Postal Code
Setauket NEW YORK 11733
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
FW Libardono Jr 706551
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corp. 30613
Street Address 1 Street Address 2
70 Washington Street Suite 103
City State/Province/Country ZIP/Postal Code
Salem MASSACHUSETTS 01970
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Gary D. Gray 4171086
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
7700 N. Kendall Drive Suite 408
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33156
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Gary C. Haack 2796834
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WFG Investments Inc. 22704
Street Address 1 Street Address 2
16500 San Pedro Suite 300
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78232
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Gene L. Fahlsing 1285592
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capital Financial Services Inc. 8408
Street Address 1 Street Address 2
20410 Brookmont Rd.
City State/Province/Country ZIP/Postal Code
Morrison COLORADO 80465
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Gregory L. Gibson 4348507
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corp. 30613
Street Address 1 Street Address 2
4171 Poplar Avenue
City State/Province/Country ZIP/Postal Code
Memphis TENNESSEE 38117
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Gregory S. Kuras 1444445
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services 18487
Street Address 1 Street Address 2
200 Highway 71
City State/Province/Country ZIP/Postal Code
Spring Lake Heights NEW JERSEY 07762
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number    None
James O. Conaway 1920946
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Services 14754
Street Address 1 Street Address 2
3000 E. Birch Suite 109
City State/Province/Country ZIP/Postal Code
Brea CALIFORNIA 92821
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
James R. Slacke 1531064
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
940 Saratoga Avenue Suite 107
City State/Province/Country ZIP/Postal Code
San Jose CALIFORNIA 95129
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jason A. McGinty 4499263
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2300 E. Katella Avenue Suite 200
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Jason D. Waxler 1756279
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Services 18487
Street Address 1 Street Address 2
134 Huntville Road
City State/Province/Country ZIP/Postal Code
Katonah NEW YORK 10536
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
John J. Herrod 5626076
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher and Company Financial Services Inc 13609
Street Address 1 Street Address 2
1474 Stone Point Drive
City State/Province/Country ZIP/Postal Code
Roseville CALIFORNIA 95661
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jay A. Wallinger 2407056
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
113 North Main
City State/Province/Country ZIP/Postal Code
Stuart NEBRASKA 68780
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
NEBRASKA
Recipient
Recipient CRD Number    None
Jeffrey G. Meyers 2192759
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
QA3 Financial Corp. 14754
Street Address 1 Street Address 2
8717 W 110th St. Suite 620
City State/Province/Country ZIP/Postal Code
Overland Park KANSAS 66210
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
Recipient
Recipient CRD Number    None
James D. Phelan 362251
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IMS Securities Inc. 35567
Street Address 1 Street Address 2
4412 Spicewood Springs Suite 300
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78759
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
James R. Kennedy 1961588
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
106 South Seaman Street
City State/Province/Country ZIP/Postal Code
Eastland TEXAS 76448
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
John D. Crockett 1463224
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
16825 48th Avenue West Suite 112
City State/Province/Country ZIP/Postal Code
Lynnwood WASHINGTON 98037
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
John H. Towers 700221
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
5800 Granite Parkway Suite 100
City State/Province/Country ZIP/Postal Code
Plano TEXAS 75024
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
John T. Lady 2045202
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
330 Pelham Road Suite 101B
City State/Province/Country ZIP/Postal Code
Greenville SOUTH CAROLINA 29615
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
Steven D. Kaestner 2844064
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
933 East Britton
City State/Province/Country ZIP/Postal Code
Oklahoma City OKLAHOMA 73114
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OKLAHOMA
Recipient
Recipient CRD Number    None
Michael H. Cunningham 2499939
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
933 East Britton
City State/Province/Country ZIP/Postal Code
Oklahoma City OKLAHOMA 73114
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OKLAHOMA
Recipient
Recipient CRD Number    None
Karl F. Frank 4769985
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Walth Management Inc. 120894
Street Address 1 Street Address 2
9780 Mt Pyramid Court Suite 130
City State/Province/Country ZIP/Postal Code
Englewood COLORADO 80112
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Kenneth W. Finnell 1184110
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities Inc. 16944
Street Address 1 Street Address 2
43460 Ridge Park Drive Suite 200
City State/Province/Country ZIP/Postal Code
Temecula CALIFORNIA 92590
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Kevin N. Nevin 2460059
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
1660 Highway 100 South Siute 500
City State/Province/Country ZIP/Postal Code
St. Louis Park MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Kraig W. Killough 2463476
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
EDI Financial Inc. 15699
Street Address 1 Street Address 2
4265 San Felipe St. Suite 1100
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77027
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Kimberly A. Barry 4790882
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
TNP Securities LLC 149178
Street Address 1 Street Address 2
2999 Oak Road Suite 800
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 94597
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Lawrence Smith 2378563
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corp. 30613
Street Address 1 Street Address 2
800 Summer Street Suite 415
City State/Province/Country ZIP/Postal Code
Stamford CONNECTICUT 06901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
Recipient
Recipient CRD Number    None
Lawrence Breen III 1333876
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
1515 International Parkway Suite 1019
City State/Province/Country ZIP/Postal Code
Lake Mary FLORIDA 32746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
Linda S. Collier 1304049
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VSR Financial Services Inc. 14503
Street Address 1 Street Address 2
2150 North 107th Street Suite 521
City State/Province/Country ZIP/Postal Code
Seattle WASHINGTON 98133
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON

13. Offering and Sales Amounts

Total Offering Amount $124,950,000 USD
or    Indefinite
Total Amount Sold $28,477,471 USD
Total Remaining to be Sold $96,472,529 USD
or    Indefinite

Clarification of Response (if Necessary):

Total Offering Amount: $100,000,000 represents aggregate amount for limited partnership interests and $24,950,000 represents aggregate amount for limited liability company membership interests being offered in connection with offering

14. Investors

X
 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.
25
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
595

15. Sales Commissions & 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 $8,743,000 USD
X 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):

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 Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

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
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP /Hollis M. Greenlaw/ Hollis M. Greenlaw President of managing member of gp of Issuer gp 2011-03-15
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC Hollis M. Greenlaw/ Hollis M. Greenlaw Pres. of managing member of gp of Issuer managing member 2011-03-15

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.