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 Trust
Conestoga Settlement Services, LLC
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
X Other (Specify)

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

2. Principal Place of Business and Contact Information

Name of Issuer
Conestoga 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
International, LLC Conestoga
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):

Trustor of the Conestoga Trust
Last Name First Name Middle Name
Dunne Robert L.
Street Address 1 Street Address 2
9701 South Keeler Ave
City State/Province/Country ZIP/PostalCode
Oak Lawn ILLINOIS 60453
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Trustee of the CI Trust
Last Name First Name Middle Name
Trust CI
Street Address 1 Street Address 2
C/O InCorp Services, Inc. 400 North Main Ave, Suite 206
City State/Province/Country ZIP/PostalCode
Sioux Falls SOUTH DAKOTA 57104-5979
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Sole member of Conestoga International, LLC.

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
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
X Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

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

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 506(b)
X 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
Joshua Allen None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4415 66th St. Suite 101
City State/Province/Country ZIP/Postal Code
Lubbock TEXAS 79414
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW MEXICO
TEXAS
Recipient
Recipient CRD Number X None
Jessica Baumler None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
616 County Road
City State/Province/Country ZIP/Postal Code
Grand Marsh WISCONSIN 53936
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Vernon Bell 4541332
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6136 Frisco Square Blvd. Suite 400
City State/Province/Country ZIP/Postal Code
Frisco TEXAS 75034
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
R. Mark Betts 2425560
(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    None
Thomas Beno 5583773
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
650 Kalmia Ct. NW
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
William Brandenburg None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7774 Cross Cut Trail
City State/Province/Country ZIP/Postal Code
Woodruff WISCONSIN 54568
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
Debra Carter 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 42
City State/Province/Country ZIP/Postal Code
Dennis TEXAS 76439
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
Paul Carter None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
13705 SE 87th Ter.
City State/Province/Country ZIP/Postal Code
Summerfield FLORIDA 34491
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
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 Prairie 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    None
Aase Christensen 1723547
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1417 Pacific Avenue
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93109
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
Jeff Converse None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11631 Allwood Drive
City State/Province/Country ZIP/Postal Code
Riverside CALIFORNIA 92503
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 Correll None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
16831 N 58th Street #125
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85254
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
Etienn Couret None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
352 West 110th St. 10c
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10025
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
Michael Cox None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6508 2nd St.
City State/Province/Country ZIP/Postal Code
Lubbock TEXAS 79416
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
Chris Dantin 3088863
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9241 Blue Bonnet Blvd. Ste. C
City State/Province/Country ZIP/Postal Code
Baton Rouge LOUISIANA 70810
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
LOUISIANA
TEXAS
Recipient
Recipient CRD Number X None
Kevin W. Day None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2427 Boysford Ave
City State/Province/Country ZIP/Postal Code
Altoona WISCONSIN 54720
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
Jerry DeRose None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
13229 Willow Lake Blvd.
City State/Province/Country ZIP/Postal Code
Vadnais Heights MINNESOTA 55110
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 Donaldson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1286 Nestor Ct.
City State/Province/Country ZIP/Postal Code
Haslett MICHIGAN 48840
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number X None
Paul Dow None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2412 Wildwood Ct.
City State/Province/Country ZIP/Postal Code
Fullerton CALIFORNIA 92835
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
Robert Dunne None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9701 S. Keeler Ave
City State/Province/Country ZIP/Postal Code
Oak Lawn ILLINOIS 60453
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 X None
Danielle Dupuy None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
40 E. Main St. Suite 582
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
Michael Durand None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1501 Rushmore Dr.
City State/Province/Country ZIP/Postal Code
Burnsville MINNESOTA 55306
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
Scott Elsasser None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1024 S. 37 Street
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68105
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
NEBRASKA
Recipient
Recipient CRD Number X None
George Fossing None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
405 Deerfield Dr.
City State/Province/Country ZIP/Postal Code
Greer SOUTH CAROLINA 29650
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
SOUTH CAROLINA
Recipient
Recipient CRD Number X None
Deidre 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
GEORGIA
TEXAS
Recipient
Recipient CRD Number X None
Stephen Gardner None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
865 E. 12200 S.
City State/Province/Country ZIP/Postal Code
Draper UTAH 84020
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
CALIFORNIA
GEORGIA
MINNESOTA
NEW MEXICO
OHIO
OKLAHOMA
TENNESSEE
TEXAS
UTAH
WASHINGTON
Recipient
Recipient CRD Number X None
Daniel Goodmanson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3308 Williams Dr.
City State/Province/Country ZIP/Postal Code
Burnsville MINNESOTA 55337
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
Bill Grigorieff 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 500
City State/Province/Country ZIP/Postal Code
LaPine OREGON 97739
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MARYLAND
OREGON
TEXAS
Recipient
Recipient CRD Number X None
Kathryn Gunderson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1316 Fairfax St. #106
City State/Province/Country ZIP/Postal Code
Eau Claire WISCONSIN 54701
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
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
Kurt Hanusa None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
426 2nd St. Suite A
City State/Province/Country ZIP/Postal Code
Baraboo WISCONSIN 53913
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
Sandy Heiar None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
N8218 HWY 33
City State/Province/Country ZIP/Postal Code
Beaver Dam WISCONSIN 53916
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
John Barry Herring None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
541 Epworth Rd.
City State/Province/Country ZIP/Postal Code
Kilgore TEXAS 75662
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 Hersey None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
419 Los Robles Ln
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93105
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
Gregory Hersey None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5138 San Lucas Way
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93111
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
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
Katherine Hicock None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
545 Buckingham Ave.
City State/Province/Country ZIP/Postal Code
Syracuse NEW YORK 13210
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
Gordon Hillegas None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1901 Old Dalton Rd. NE
City State/Province/Country ZIP/Postal Code
Rome GEORGIA 30165
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
Jenny Hodge None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1308 Lake Drive
City State/Province/Country ZIP/Postal Code
Longview TEXAS 75601
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 Hodge None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
255 Kuss Road
City State/Province/Country ZIP/Postal Code
Danville CALIFORNIA 94526
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 L. Holman None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
26 Copperleaf Drive
City State/Province/Country ZIP/Postal Code
Crawfordsville INDIANA 47933
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 X None
Brad Hofhines None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
25385 Shadow Circle
City State/Province/Country ZIP/Postal Code
Star IDAHO 83669
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IDAHO
Recipient
Recipient CRD Number X None
Devin Hubbard None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
876 Oak Drive
City State/Province/Country ZIP/Postal Code
South Ogden UTAH 84403
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 X None
Terry F. Hubbartt, Jr. None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3201 Rolling Hills Drive
City State/Province/Country ZIP/Postal Code
Manitowoc WISCONSIN 54220
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
Rebecca R. Huerth None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
15 E. Humbird Street
City State/Province/Country ZIP/Postal Code
Rice Lake WISCONSIN 54868
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
Stephen R. Jacobson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9650 E. Irwin Ave.
City State/Province/Country ZIP/Postal Code
Mesa ARIZONA 85209
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 F. Johnson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6870 South 700 East #566
City State/Province/Country ZIP/Postal Code
Midvale UTAH 84047
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
WASHINGTON
Recipient
Recipient CRD Number X None
Micahel Johnson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6225 Hesperia Ave.
City State/Province/Country ZIP/Postal Code
Encino CALIFORNIA 91316
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 Johnson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
397 Ouachita 54 Road
City State/Province/Country ZIP/Postal Code
Camden ARIZONA 71701
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
Truman Johnson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5527 77th Street
City State/Province/Country ZIP/Postal Code
Lubbock TEXAS 79424
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
Joseph Jones None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
12633 South Lowe
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60628
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 X None
Robert Jones None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
800 E. Charleston Blvd.
City State/Province/Country ZIP/Postal Code
Las Vegas NEVADA 89104
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
Recipient
Recipient CRD Number X None
Roger Jones 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 53461
City State/Province/Country ZIP/Postal Code
Lubbock TEXAS 79453
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 M. Joos None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11320 Highridge
City State/Province/Country ZIP/Postal Code
Independence MISSOURI 64052
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 X None
Dawn Jorgensen None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1144 Hollow View Way
City State/Province/Country ZIP/Postal Code
West Jordan UTAH 84084
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 X None
Barbara Kalinowski None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
14008 Waterbury Drive Unit 1201
City State/Province/Country ZIP/Postal Code
Crestwood ILLINOIS 60445
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 X None
Mark Kaliczwiski None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3 North Road Suite 303
City State/Province/Country ZIP/Postal Code
Flanders NEW JERSEY 07836
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 X None
David Keenley None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6400 North Cicero Ave. #308
City State/Province/Country ZIP/Postal Code
Lincolnwood ILLINOIS 60712
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 X None
James Kelley None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
600 Flagstaff Lane
City State/Province/Country ZIP/Postal Code
Hoffman Estates ILLINOIS 60169
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 X None
Richard Kelley None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
143 East 103rd Street
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10029
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number X None
Donald Kelly None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3300 Loveland Blvd. Unit1102
City State/Province/Country ZIP/Postal Code
Port Charlotte FLORIDA 33980
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
Christian Kennon None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2014 Lucille Ave.
City State/Province/Country ZIP/Postal Code
Kingman ARIZONA 86401
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
Kingsley Kessie None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2756 Sweet Briar Lane
City State/Province/Country ZIP/Postal Code
Grand Prairie 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
Robert Kernaghan None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5007 Timberline Dr.
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
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
ILLINOIS
MICHIGAN
MONTANA
TEXAS
Recipient
Recipient CRD Number X None
Paul Kessler None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
717 Tangerine Drive
City State/Province/Country ZIP/Postal Code
Lady Lake FLORIDA 32159
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
FLORIDA
NEW YORK
OHIO
OKLAHOMA
Recipient
Recipient CRD Number X None
Pao Khang None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1309 Kernan Court
City State/Province/Country ZIP/Postal Code
Eau Claire WISCONSIN 54703
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
Steven Kirman 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 61251
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93160
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
David Kiselak None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
488 North Sherman Lane
City State/Province/Country ZIP/Postal Code
Van Alstyne TEXAS 75495
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 Kiser None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
995 Birch Tree Lane
City State/Province/Country ZIP/Postal Code
Fond Du Lac WISCONSIN 54935
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
Leo Kiser None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
W 4 708 Branch Road
City State/Province/Country ZIP/Postal Code
Fond Du Lac WISCONSIN 54937
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
TerriLynn Klement None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3931 Randolph Drive
City State/Province/Country ZIP/Postal Code
Lorain OHIO 44053
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number X None
Larry Klein None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2428 Pine Court
City State/Province/Country ZIP/Postal Code
Van Meter IOWA 50261
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 X None
Paul Klocko None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3907 Pat Street
City State/Province/Country ZIP/Postal Code
Weston WISCONSIN 54476
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
Larry Knight None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
615 No. Broadway
City State/Province/Country ZIP/Postal Code
Providence KENTUCKY 42450
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KENTUCKY
Recipient
Recipient CRD Number X None
Theresa Konopa None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1501 South Cherry
City State/Province/Country ZIP/Postal Code
Marsh Field 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
Timothy Korff None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1336 Tall Maple Loop
City State/Province/Country ZIP/Postal Code
Oviedo FLORIDA 32765
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
Allen Kossach None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4421 Crystal Ranch Place
City State/Province/Country ZIP/Postal Code
Marana ARIZONA 85858
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
NEVADA
WASHINGTON
Recipient
Recipient CRD Number X None
John Kreft None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5605 Osborn Drive
City State/Province/Country ZIP/Postal Code
McFarland WISCONSIN 53558
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
IOWA
MICHIGAN
MINNESOTA
NORTH DAKOTA
OHIO
TENNESSEE
WISCONSIN
Recipient
Recipient CRD Number X None
Karla LaHue None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
310 Eunice Ave.
City State/Province/Country ZIP/Postal Code
Parchment MICHIGAN 49004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number X None
Allen Laird None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1525 South Courtland
City State/Province/Country ZIP/Postal Code
Park Ridge ILLINOIS 60068
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
WISCONSIN
Recipient
Recipient CRD Number X None
James Lamont None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
98 Vivian Court
City State/Province/Country ZIP/Postal Code
Novato CALIFORNIA 94947
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
Scott Lamphere None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8616 West Paradise Lane
City State/Province/Country ZIP/Postal Code
Peoria ARIZONA 85382
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
Manon Langenberg None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
14229 Elk Mountain Trail
City State/Province/Country ZIP/Postal Code
Littleton COLORADO 80127
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
KANSAS
WYOMING
Recipient
Recipient CRD Number X None
Robert Langenburg None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
14229 Elk Mountain Trail
City State/Province/Country ZIP/Postal Code
Littleton COLORADO 80127
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
TEXAS
Recipient
Recipient CRD Number X None
Grant Lantz None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5601 Courtez
City State/Province/Country ZIP/Postal Code
Granbury TEXAS 76049
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
Zachary Larson None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1500 Westview Drive
City State/Province/Country ZIP/Postal Code
Hastings MINNESOTA 55033
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
Don Leary None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
238 North San Antonio Ave. #7
City State/Province/Country ZIP/Postal Code
Upland CALIFORNIA 91786
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
GEORGIA
Recipient
Recipient CRD Number X None
Robert Linderman None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7255 Navajo Road Unit C360
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92119
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
Mark Lindsey None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
230 Green Forest Drive
City State/Province/Country ZIP/Postal Code
Spring TEXAS 77388
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
Susan Locker None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2924 Channel Rock Drive
City State/Province/Country ZIP/Postal Code
Las Vegas NEVADA 89117
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
Recipient
Recipient CRD Number X None
Eva Lopuszynski None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17042 Austin Lane
City State/Province/Country ZIP/Postal Code
Orland Park ILLINOIS 60467
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 X None
James Lorang None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
W8947 US Highway 12
City State/Province/Country ZIP/Postal Code
Fort Atkinson WISCONSIN 53538
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
Phillip Lubitz None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
17 Disc La
City State/Province/Country ZIP/Postal Code
Wantagh NEW YORK 11793
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
Miguel Luciano None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
16405 Saphire Bend
City State/Province/Country ZIP/Postal Code
Weston FLORIDA 33331
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
Brian Lund None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11682 Grandville Ave.
City State/Province/Country ZIP/Postal Code
South Jordan UTAH 84095
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
DELAWARE
GEORGIA
ILLINOIS
KANSAS
KENTUCKY
MASSACHUSETTS
NEVADA
OHIO
TENNESSEE
UTAH
WEST VIRGINIA
Recipient
Recipient CRD Number X None
Leon Lundstrom None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
18218 Ixonia Ave.
City State/Province/Country ZIP/Postal Code
Lakeville MINNESOTA 55044
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
WISCONSIN
Recipient
Recipient CRD Number X None
Felicia Lyda None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2212 East 70th Street
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60649
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 X None
Kim Magdalein None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3840 Bellfort Road Suite 301
City State/Province/Country ZIP/Postal Code
Jacksonville FLORIDA 32216
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 Maiewski None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3330 Debbie Court
City State/Province/Country ZIP/Postal Code
Harrisonburg VIRGINIA 22801
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
Danny Maldonado None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5577 Pioneer Blvd. #3
City State/Province/Country ZIP/Postal Code
Whittier CALIFORNIA 90601
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 $198,497,400 USD
or    Indefinite
Total Amount Sold $171,741,688 USD
Total Remaining to be Sold $26,755,712 USD
or    Indefinite

Clarification of Response (if Necessary):

TOA is the face value of life insurance policies in which participants may purchase a fixed % of the death benefit. Total amount sold is also expressed in terms of the face value of such life insurance policies. These numbers are as of September 5, 2017.

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:
1,284

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 $17,821,326 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

As of Sept. 2011, commission structure changed so that commissions do not exceed 10% of the face value of any participation. These numbers are as of September 5, 2017.

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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

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

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

Issuer Signature Name of Signer Title Date
Conestoga Trust Theresa Golde Theresa Golde Attorney 2017-09-13

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.