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

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

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

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
   None
Entity Type
0001502961
Conestoga Settlement Services, LLC
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
X Other (Specify)

Trust
Name of Issuer
Conestoga Settlement Trust
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2010
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Conestoga Settlement Trust
Street Address 1 Street Address 2
1455 PENNSYLVANIA AVE SUITE 400
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
WASHINGTON DISTRICT OF COLUMBIA 00918 302-357-9385

3. Related Persons

Last Name First Name Middle Name
McDermott Michael C.
Street Address 1 Street Address 2
644 Ave. Fernandez Juncos Suite 301
City State/Province/Country ZIP/PostalCode
San Juan PUERTO RICO 00907
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Sole member of Conestoga International, LLC, Trustor of Conestoga Settlement Trust
Last Name First Name Middle Name
Washburn Thomas P.
Street Address 1 Street Address 2
901 S. Mopac, Barton Oaks Plaza V Suite 230
City State/Province/Country ZIP/PostalCode
Austin TEXAS 78746
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Attorney at De Leon & Washburn, P.C., Legal counsel for Conestoga Settlement Trust.
Last Name First Name Middle Name
De Leon Hector
Street Address 1 Street Address 2
901 S. Mopac, Barton Oaks Plaza V Suite 230
City State/Province/Country ZIP/PostalCode
Austin TEXAS 78746
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Attorney at De Leon & Washburn, P.C., Legal counsel for Conestoga Settlement Trust.
Last Name First Name Middle Name
De Leon Benjamin S.
Street Address 1 Street Address 2
901 S. Mopac, Barton Oaks Plaza V Suite 230
City State/Province/Country ZIP/PostalCode
Austin TEXAS 78746
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Attorney at De Leon & Washburn, P.C., Legal counsel for Conestoga Settlement Trust.

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
   Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
X
 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 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 505
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
   Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2010-05-28    First Sale Yet to Occur
X Amendment

8. Duration of Offering

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

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

   Equity    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)
Specified beneficial percentage interest in death benefits payable under a life insurance policy.

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 $5,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
Mike Ahlers None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17503 La Cantera Pkwy Suite 104-623
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78257
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 X None
Raymond Almanza None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3956 S. Amistad Ave.
City State/Province/Country ZIP/Postal Code
Pico Rivera CALIFORNIA 90660
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
Rene Rolando Alvarez 2496345
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
832 Elizabeth
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78209
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 X None
Jerry C. Anderson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8806 N. Navarro #660
City State/Province/Country ZIP/Postal Code
Victoria TEXAS 77904
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
Tim Beeman 1424985
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
806 E. Avenida Pico Suite 1-265
City State/Province/Country ZIP/Postal Code
San Clemente CALIFORNIA 92673
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
Al Banfe None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1934 Stratford Way
City State/Province/Country ZIP/Postal Code
West Palm Beach FLORIDA 33409
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 X None
Bradley Barre None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4017 Elizabeth Lane
City State/Province/Country ZIP/Postal Code
Benton LOUISIANA 71006
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 X None
Mark Battell None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
492 15th Street
City State/Province/Country ZIP/Postal Code
West Babylon NEW YORK 11704
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 X None
Marcus Bayly None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
12209 131st PC NE C-50
City State/Province/Country ZIP/Postal Code
Kirkland WASHINGTON 98034
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 X None
Darrill Beebe None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6582 Virginia Sq.
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
TEXAS
Recipient
Recipient CRD Number X None
Douglas Neil Berkey None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
10717 Kirkland Dr.
City State/Province/Country ZIP/Postal Code
Spotsylvania VIRGINIA 22551
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
GEORGIA
LOUISIANA
MISSOURI
VIRGINIA
Recipient
Recipient CRD Number X None
R. Mark Betts None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7206 Danwood Dr.
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 X None
Mitchell Billingsley None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
PO Box 852174
City State/Province/Country ZIP/Postal Code
Mesquite TEXAS 75185
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 X None
Robert Blacklidge None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
974 Stonecrest Rd.
City State/Province/Country ZIP/Postal Code
Argyle TEXAS 76226
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 X None
Roland Brewer None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1817 Meadowlake
City State/Province/Country ZIP/Postal Code
Sherman TEXAS 75092
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 X None
Wendell H. Britain None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
205 Hockaday Ave.
City State/Province/Country ZIP/Postal Code
Garland TEXAS 75043
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 X None
Gary Brosseit None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1122 Shadetree Lane
City State/Province/Country ZIP/Postal Code
Allen TEXAS 75013
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
Paul Brost 4227552
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5 Tenby Chase
City State/Province/Country ZIP/Postal Code
Newark DELAWARE 19711
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
Recipient
Recipient CRD Number X None
Charles Brown None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
27 Vista Barranca
City State/Province/Country ZIP/Postal Code
Rancho Santa Margarita CALIFORNIA 92688
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
Paul Brown 2711182
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1210 Verdun Lane
City State/Province/Country ZIP/Postal Code
Friendswood TEXAS 77546
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 X None
William Brown II None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2111 Hwy 1417 S. PMB 183
City State/Province/Country ZIP/Postal Code
Sherman TEXAS 75092
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 X None
Gary Burke None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7303 Chico Circle
City State/Province/Country ZIP/Postal Code
Corona CALIFORNIA 97881
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
Aaron Burns None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
29772 SW Old Well Rd.
City State/Province/Country ZIP/Postal Code
Linn OREGON 97068
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
Malcolm Campbell 816982
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
24 Parkwood Suite 101
City State/Province/Country ZIP/Postal Code
Aliso Viejo CALIFORNIA 92656
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
James C. Cargile None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2112 Westridge Dr.
City State/Province/Country ZIP/Postal Code
Plano TEXAS 75075
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
Paul Carrier 1515050
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2850 Shurburne Dr.
City State/Province/Country ZIP/Postal Code
Alpharetta GEORGIA 30022
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number X None
Michael Castellano None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17614 Black Rose Trail
City State/Province/Country ZIP/Postal Code
Cypress TEXAS 77429
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 X None
Brian Cervenka None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2423 Stephens Grant
City State/Province/Country ZIP/Postal Code
Sugar Land TEXAS 77479
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 X None
Ray Chadwick None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
539 W. Crossland Blvd.
City State/Province/Country ZIP/Postal Code
Grand Prarie TEXAS 75052
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 X None
Barney T. Chan None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3646 Ramblewood Pl.
City State/Province/Country ZIP/Postal Code
Fremont CALIFORNIA 94536
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
Thomas W. Crisman None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17693B US 84/285
City State/Province/Country ZIP/Postal Code
Santa Fe NEW MEXICO 87506
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW MEXICO
Recipient
Recipient CRD Number X None
Ralph Cigliano None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
10437 Kylemore Glen Ct.
City State/Province/Country ZIP/Postal Code
Jacksonville FLORIDA 32256
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
Bryan Clark 5707036
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9445 Southern Garden Cir.
City State/Province/Country ZIP/Postal Code
Altamonte Springs FLORIDA 32714
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 X None
Craig T. Clark None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3085 SE 80th Street Lot 1
City State/Province/Country ZIP/Postal Code
Ocala FLORIDA 34480
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 X None
Ronald Coleman None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3030 LBJ Freeway Suite 700
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75234
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 X None
Lynette Colletta None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
16 Mercato
City State/Province/Country ZIP/Postal Code
Laguna Niguel CALIFORNIA 92677
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
Gary Corona None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
35246 US Hwy 19 North #323
City State/Province/Country ZIP/Postal Code
Palm Harbor FLORIDA 34684
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 X None
Wade Cowart None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8412 Island Palm Cir.
City State/Province/Country ZIP/Postal Code
Orlando FLORIDA 32835
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 X None
Mark S. Crabtree None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1125 S. Ball St. #104
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 X None
Crissman Crombie None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3701 Grapevine Mills Pkway #231
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 X None
Nicholas R. Abts None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5 Lynbrook Circle
City State/Province/Country ZIP/Postal Code
Madison WISCONSIN 53711
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number X None
Kevin Jay Altoe None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3443 West Veterans Pkwy
City State/Province/Country ZIP/Postal Code
Marshfield WISCONSIN 54449
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number X None
Jaqueline Davis None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6503 Belmont Bend
City State/Province/Country ZIP/Postal Code
Katy TEXAS 77450
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 X None
Mark W. Davis None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3706 Red Mesa Trail
City State/Province/Country ZIP/Postal Code
Aubrey TEXAS 76227
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 X None
Robert Adam De Leon None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
18998 Mindanao St.
City State/Province/Country ZIP/Postal Code
Bloomington CALIFORNIA 92316
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
Christopher Driscoll None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
251 Town Center Lane unit 2403
City State/Province/Country ZIP/Postal Code
Keller TEXAS 76248
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 X None
James E. Dunn None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3313 Pine Needle Circle
City State/Province/Country ZIP/Postal Code
Round Rock TEXAS 78681
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 X None
Eric Duss None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8210 Constantine Dr. # 35
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92646
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
Joel J. Edwards None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4663 191st Ave. SE
City State/Province/Country ZIP/Postal Code
Issaquah WASHINGTON 98027
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 X None
Leon Ellis None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3807 Blue Forest Dr.
City State/Province/Country ZIP/Postal Code
Arlington TEXAS 76801
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 X None
William E. Evans None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11270 Woodridge Forest
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78249
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 X None
Stephen Fickenscher None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3405 188th St. SW
City State/Province/Country ZIP/Postal Code
Lynwood 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
Leonard W. Fox 1034999
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
23052-H Alicia Pkwy #464
City State/Province/Country ZIP/Postal Code
Mision Viejo CALIFORNIA 92692
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
James Frackowiak None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1833 North Teakwood Cir.
City State/Province/Country ZIP/Postal Code
Canby OREGON 97013
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 X None
David Frederickson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4851 W. Hillsboro Dr. Suite A-12
City State/Province/Country ZIP/Postal Code
Coconut Creek FLORIDA 33073
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 X None
Thomas B. Freker None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6402 Shanye Dr.
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92647
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
Gale Gajardo None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5942 Eninger Ave. #113-18b
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92649
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
William Neil Gallagher 1412273
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3030 LBJ Freeway Suite 700
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75234
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 X None
Matthew Gallagher None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
420 Alta Ridge Dr.
City State/Province/Country ZIP/Postal Code
Keller TEXAS 76248
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 X None
Pamela Gallegos None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1129 No. Handy St.
City State/Province/Country ZIP/Postal Code
Orange CALIFORNIA 92867
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
Al Gallo None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1101 Tangerine Dr.
City State/Province/Country ZIP/Postal Code
Redlands CALIFORNIA 92374
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
Hollie Gandy None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8312 Barstow Dr.
City State/Province/Country ZIP/Postal Code
Amarillo TEXAS 79118
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 X None
Claude Gersene None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
44 Yacht Club Dr. #408
City State/Province/Country ZIP/Postal Code
N. Palm Beach FLORIDA 33408
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
Carl V. Gottuso 1015679
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
15338 Cental Ave.
City State/Province/Country ZIP/Postal Code
Chino CALIFORNIA 91710
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
Deirdre A. Gibson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6403 Genstar Lane
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75252
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
TEXAS
Recipient
Recipient CRD Number X None
Albert Green None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8024 NE 8th St.
City State/Province/Country ZIP/Postal Code
Medina WASHINGTON 98039
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 X None
Peter Ayeni None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7600 W. Tidwell Ste 712
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77040
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 X None
Herman Griggs None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
822 Canadian Cir.
City State/Province/Country ZIP/Postal Code
Grand Prarie TEXAS 75050
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 X None
Arsenio Grindulo None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11232 El Camino Real Suite 175
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
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
Randy Grube None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
35246 US Hwy 19 North # 323
City State/Province/Country ZIP/Postal Code
Palm Harbor FLORIDA 34684
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 X None
David R. Guenette None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3834 NW 63rd Terrace
City State/Province/Country ZIP/Postal Code
Coral Springs FLORIDA 33067
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 X None
Steve Haagenson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17031 E. El Lago Blvd. # 2165
City State/Province/Country ZIP/Postal Code
Fountain Hills ARIZONA 85268
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 X None
Deanna Hackler None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1902 Nancy Jane Cir.
City State/Province/Country ZIP/Postal Code
Garland TEXAS 75043
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 X None
Richard Hainey None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1110 Green Pine Blvd F2
City State/Province/Country ZIP/Postal Code
West Palm Beach FLORIDA 33409
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 X None
Trevor H. Harbour None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9025 South 18th Way
City State/Province/Country ZIP/Postal Code
phoenix ARIZONA 85042
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
John Hartman 2486920
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3521 Paseo Flamenco
City State/Province/Country ZIP/Postal Code
San Clemente CALIFORNIA 92672
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
Chad Hartsfield None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
109 Summit Drive
City State/Province/Country ZIP/Postal Code
Maumelle ARKANSAS 72113
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 X None
Madeline Helm None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2221 W. Red Range Way
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85085
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 X None
Paul Hess None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1309 White Wing Ct.
City State/Province/Country ZIP/Postal Code
Southlake TEXAS 76092
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 X None
Douglas Higley None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
529 N. Bridgestone Ave.
City State/Province/Country ZIP/Postal Code
St. Johns FLORIDA 32259
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 X None
Amy Hill None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
29 Hacienda Dr.
City State/Province/Country ZIP/Postal Code
Laguna Vista TEXAS 78578
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 X None
Matthew Hoffman None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
Sanctuary Financial, 290 Scalybark Trl.
City State/Province/Country ZIP/Postal Code
Concord NORTH CAROLINA 28027
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number X None
Mark Hollingsworth None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3972 Barranca Parkway Suite J-506
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92606
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
Thomas Hudson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3520 Flora Vista Loop
City State/Province/Country ZIP/Postal Code
Round Rock TEXAS 78681
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 X None
Richard Aliperti None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17622 Northhagen
City State/Province/Country ZIP/Postal Code
Houston TEXAS 78257
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 X None
Jason Jennings None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1020 W. Shepherd
City State/Province/Country ZIP/Postal Code
Denison TEXAS 75020
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 X None
Terry W. Johnson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
23 Candlelite Trail
City State/Province/Country ZIP/Postal Code
Heath TEXAS 75032
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 X None
Donald Jones None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
15212 SE 175 Place
City State/Province/Country ZIP/Postal Code
Renton WASHINGTON 98058
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
WASHINGTON
Recipient
Recipient CRD Number X None
Brad Jowell None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
PO Box 31
City State/Province/Country ZIP/Postal Code
Burleson TEXAS 76097
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 X None
Vern Juel None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
122 Palomino Ct.
City State/Province/Country ZIP/Postal Code
Denton TEXAS 76208
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 X None
Irving R. Katz None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2372 Morse Ave.
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92614
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
Tom Keener None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
10717 Kirkland Dr.
City State/Province/Country ZIP/Postal Code
Spotsylvania VIRGINIA 22557
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number X None
Michael Kendall None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
22952 Via Cruz
City State/Province/Country ZIP/Postal Code
Laguna Niguel CALIFORNIA 92677
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
Everett W. Knell None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2672 Tucker Lane
City State/Province/Country ZIP/Postal Code
Los Alamitos CALIFORNIA 90720
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
J. Thomas Knight None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11620 NW 30th Place
City State/Province/Country ZIP/Postal Code
Sunrise FLORIDA 33323
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 X None
Robert F. Knox None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3505 Summerhill Rd. # 5
City State/Province/Country ZIP/Postal Code
Texarkana TEXAS 75503
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 X None
Nancy Lancor None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1306 Westmont Ct.
City State/Province/Country ZIP/Postal Code
Southlake TEXAS 76092
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 X None
Gene Langenberg None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7202 Sasparilla Dr.
City State/Province/Country ZIP/Postal Code
Corona CALIFORNIA 92881
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
Emil Laskowski None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8918 Tesoro Drive Suite 100
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78217
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 Laven 1786982
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1301 S. Greenwood Ave. Apt. 14
City State/Province/Country ZIP/Postal Code
Montebello CALIFORNIA 90640
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA

13. Offering and Sales Amounts

Total Offering Amount $106,225,000 USD
or    Indefinite
Total Amount Sold $98,123,097 USD
Total Remaining to be Sold $8,101,903 USD
or    Indefinite

Clarification of Response (if Necessary):

Total Offering Amount is the face value of life insurance policies in which participants may purchase a fixed percentage of the death benefit. Total amount sold is also expressed in terms of the face value of such life insurance policies.

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.
21
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:
650

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 $8,668,050 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

As of Sept. 1, 2011, commission structure changed so that commissions do not exceed 10% of the face value of any participation.

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 Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

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

Issuer Signature Name of Signer Title Date
Conestoga Settlement Trust Michael C. McDermott Michael C. McDermott Member, Conestoga Int'l, LLC, Trustor of C.S.T. 2013-11-12

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.