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

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

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

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001745032
X Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
Lodging Fund REIT III, Inc.
Jurisdiction of Incorporation/Organization
MARYLAND
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2018
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Lodging Fund REIT III, Inc.
Street Address 1 Street Address 2
1635 43RD STREET SOUTH, SUITE 205
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
FARGO NORTH DAKOTA 58103 (701)630-6500

3. Related Persons

Last Name First Name Middle Name
Maple Corey R.
Street Address 1 Street Address 2
1635 43rd Street South, Suite 205
City State/Province/Country ZIP/PostalCode
Fargo NORTH DAKOTA 58103
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Chairman of Board, CEO & Secretary of the Issuer
Last Name First Name Middle Name
Leslie Norman H.
Street Address 1 Street Address 2
1635 43rd Street South, Suite 205
City State/Province/Country ZIP/PostalCode
Fargo NORTH DAKOTA 58103
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

President & Chief Investment Officer of the Issuer
Last Name First Name Middle Name
Montgomery Samuel
Street Address 1 Street Address 2
1635 43rd Street South, Suite 205
City State/Province/Country ZIP/PostalCode
Fargo NORTH DAKOTA 58103
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Chief Financial Officer of the Issuer
Last Name First Name Middle Name
Ekman David G.
Street Address 1 Street Address 2
1635 43rd Street South, Suite 205
City State/Province/Country ZIP/PostalCode
Fargo NORTH DAKOTA 58103
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Rynders Perry M.
Street Address 1 Street Address 2
1635 43rd Street South, Suite 205
City State/Province/Country ZIP/PostalCode
Fargo NORTH DAKOTA 58103
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Leighton Jeffrey T.
Street Address 1 Street Address 2
1635 43rd Street South, Suite 205
City State/Province/Country ZIP/PostalCode
Fargo NORTH DAKOTA 58103
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Legendary Capital REIT III, LLC Legendary Capital REIT III, LLC
Street Address 1 Street Address 2
1635 43rd Street South, Suite 205
City State/Province/Country ZIP/PostalCode
Fargo NORTH DAKOTA 58103
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

4. Industry Group

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

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
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)
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
X Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
X Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2018-07-26    First Sale Yet to Occur
X Amendment

8. Duration of Offering

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

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

X Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

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

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $5,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Advisory Group Equity Services Ltd. 15427
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
444 Washington St, Ste 407
City State/Province/Country ZIP/Postal Code
Woburn MASSACHUSETTS 01801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Rodney Bahy Ibrahim 4358176
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Aegis Capital Corp. 15007
Street Address 1 Street Address 2
40 Wall Street, 46th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10005
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PUERTO RICO
ILLINOIS
TEXAS
FLORIDA
ALASKA
ALABAMA
NEW YORK
VIRGINIA
COLORADO
SOUTH CAROLINA
CONNECTICUT
PENNSYLVANIA
MASSACHUSETTS
LOUISIANA
NORTH DAKOTA
MARYLAND
GEORGIA
MICHIGAN
NEW JERSEY
OKLAHOMA
CALIFORNIA
Recipient
Recipient CRD Number    None
Jason Bryce Vanclef 5096529
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Trust Investment Services, Inc. 3001
Street Address 1 Street Address 2
8107 Loyola Boulevard
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90045
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
TEXAS
NORTH CAROLINA
MARYLAND
NEVADA
ARIZONA
GEORGIA
WASHINGTON
NEW YORK
MICHIGAN
CALIFORNIA
Recipient
Recipient CRD Number    None
Ausdal Financial Partners, Inc. 7995
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5187 Utica Ridge Rd.
City State/Province/Country ZIP/Postal Code
Davenport IOWA 52807
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Calton & Associates, Inc. 20999
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2701 N. Rocky Point Drive, Suite 1000
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Peter Raymond Dorn 1089858
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cape Securities Inc. 7072
Street Address 1 Street Address 2
1600 Pennsylvania Avenue
City State/Province/Country ZIP/Postal Code
McDonough GEORGIA 30253
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
TEXAS
INDIANA
FLORIDA
NEBRASKA
IOWA
ARIZONA
CALIFORNIA
Recipient
Recipient CRD Number    None
Center Street Securities, Inc. 26898
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2 International Plaza, Suite 301
City State/Province/Country ZIP/Postal Code
Nashville TENNESSEE 37217
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Crown Capital Securities, L.P. 6312
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
725 Town & Country Road, Suite 530
City State/Province/Country ZIP/Postal Code
Orange CALIFORNIA 92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
HAWAII
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
ALABAMA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
D.H. Hill Securities, LLLP 41528
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1543 Green Oak Place, Suite 100
City State/Province/Country ZIP/Postal Code
Kingwood TEXAS 77339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
HAWAII
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
MASSACHUSETTS
MARYLAND
IOWA
OHIO
GEORGIA
IDAHO
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
WEST VIRGINIA
MINNESOTA
MISSOURI
WYOMING
ILLINOIS
OREGON
INDIANA
MISSISSIPPI
MONTANA
KANSAS
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
ARKANSAS
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
DISTRICT OF COLUMBIA
NEW MEXICO
Recipient
Recipient CRD Number    None
James Thomas Manning 4395898
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Great Point Capital LLC 114203
Street Address 1 Street Address 2
12515 Research Blvd, Bldg 7, Ste 360
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
PENNSYLVANIA
TEXAS
Recipient
Recipient CRD Number    None
Todd Robert Rhine 2384366
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IBN Financial Services, Inc. 42360
Street Address 1 Street Address 2
7 Finch Street
City State/Province/Country ZIP/Postal Code
Hilton Head Island SOUTH CAROLINA 29926
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
TEXAS
FLORIDA
KANSAS
NEW YORK
VIRGINIA
SOUTH CAROLINA
MASSACHUSETTS
LOUISIANA
NORTH CAROLINA
MARYLAND
ARIZONA
GEORGIA
CALIFORNIA
DISTRICT OF COLUMBIA
NEW MEXICO
Recipient
Recipient CRD Number    None
Samuel Scott Bianchi 3036667
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IBN Financial Services, Inc. 42360
Street Address 1 Street Address 2
404 Old Liverpool Road
City State/Province/Country ZIP/Postal Code
Liverpool NEW YORK 13088
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
ILLINOIS
MASSACHUSETTS
OHIO
NEW YORK
Recipient
Recipient CRD Number    None
Cheryl Lynn Romann 3163696
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Intercarolina Financial Services, Inc. 19475
Street Address 1 Street Address 2
3300 Battleground Avenue, Suite 400
City State/Province/Country ZIP/Postal Code
Greensboro NORTH CAROLINA 27410
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
NORTH DAKOTA
ARIZONA
NEW MEXICO
Recipient
Recipient CRD Number    None
Joseph Eugene Navolanic 727399
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Intercarolina Financial Services, Inc. 19475
Street Address 1 Street Address 2
3300 Battleground Avenue, Suite 400
City State/Province/Country ZIP/Postal Code
Greensboro NORTH CAROLINA 27410
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
TEXAS
FLORIDA
VIRGINIA
KENTUCKY
SOUTH CAROLINA
PENNSYLVANIA
SOUTH DAKOTA
NORTH CAROLINA
NORTH DAKOTA
OHIO
GEORGIA
CALIFORNIA
NEW MEXICO
WEST VIRGINIA
Recipient
Recipient CRD Number    None
International Assets Advisory, LLC 10645
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
390 North Orange Avenue, Suite 750
City State/Province/Country ZIP/Postal Code
Orlando FLORIDA 32801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
David Wayne Ruths Jr. 4067433
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investment Planners, Inc. 18557
Street Address 1 Street Address 2
100 E. Walton Street, Suite #40D
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60611
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
ILLINOIS
INDIANA
NORTH CAROLINA
FLORIDA
CALIFORNIA
Recipient
Recipient CRD Number    None
Andrew Charles Butler 5242668
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investment Security Corporation 47536
Street Address 1 Street Address 2
7240 S Highland Drive, Suite 103
City State/Province/Country ZIP/Postal Code
Salt Lake City UTAH 84121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WYOMING
OREGON
TEXAS
FLORIDA
ARIZONA
CALIFORNIA
NEW MEXICO
UTAH
Recipient
Recipient CRD Number    None
John Marvin Butler 1951436
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investment Security Corporation 47536
Street Address 1 Street Address 2
7240 S Highland Drive, Suite 103
City State/Province/Country ZIP/Postal Code
Salt Lake City UTAH 84121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WYOMING
OREGON
MASSACHUSETTS
FLORIDA
ARIZONA
CALIFORNIA
NEW MEXICO
UTAH
Recipient
Recipient CRD Number    None
Bradley Lawrence Curtis 5422029
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JRL Capital Corporation 10225
Street Address 1 Street Address 2
23121 Verdugo Drive, Suite 205
City State/Province/Country ZIP/Postal Code
Laguna Hills CALIFORNIA 92653
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
ARIZONA
ALABAMA
COLORADO
CALIFORNIA
Recipient
Recipient CRD Number    None
Curtis Jerome Sathre III 2459115
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JRL Capital Corporation 10225
Street Address 1 Street Address 2
23121 Verdugo Drive, Suite 205
City State/Province/Country ZIP/Postal Code
Laguna Hills CALIFORNIA 92653
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
ARIZONA
IDAHO
CALIFORNIA
Recipient
Recipient CRD Number    None
George B. McGehee 327566
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JRL Capital Corporation 10225
Street Address 1 Street Address 2
172981 Irvine Boulevard, Suite 157
City State/Province/Country ZIP/Postal Code
Tustin CALIFORNIA 92780
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
NEVADA
ARIZONA
CALIFORNIA
Recipient
Recipient CRD Number    None
Chris Fess 1335361
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
KCD Financial, Inc. 127473
Street Address 1 Street Address 2
2595 Dallas Parkway, Suite 450
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
HAWAII
TEXAS
FLORIDA
ALABAMA
NEW YORK
ARKANSAS
PENNSYLVANIA
WISCONSIN
LOUISIANA
ARIZONA
OKLAHOMA
CALIFORNIA
NEW MEXICO
Recipient
Recipient CRD Number    None
Duane Timothy Shoop 1396302
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
KCD Financial, Inc. 127473
Street Address 1 Street Address 2
8314 E. Quiet Canyon Court
City State/Province/Country ZIP/Postal Code
Anaheim Hills CALIFORNIA 92808
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
FLORIDA
OHIO
GEORGIA
CALIFORNIA
Recipient
Recipient CRD Number    None
George Peter Koulouris 1059875
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
KCD Financial, Inc. 127473
Street Address 1 Street Address 2
210 Fayette Street
City State/Province/Country ZIP/Postal Code
Manlius NEW YORK 13066
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
ILLINOIS
FLORIDA
NEW YORK
CALIFORNIA
Recipient
Recipient CRD Number    None
Timothy William Steffen 1953542
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
KCD Financial, Inc. 127473
Street Address 1 Street Address 2
14965 Evergreen Road
City State/Province/Country ZIP/Postal Code
Bowler WISCONSIN 54416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
MINNESOTA
WISCONSIN
TEXAS
NEBRASKA
ARIZONA
MICHIGAN
Recipient
Recipient CRD Number    None
Arthur John Ellis 6167121
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Landolt Securities, Inc. 28352
Street Address 1 Street Address 2
41412 N. Highway 83
City State/Province/Country ZIP/Postal Code
Antioch ILLINOIS 60002
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PUERTO RICO
ILLINOIS
TEXAS
FLORIDA
WASHINGTON
NEW YORK
VIRGINIA
COLORADO
PENNSYLVANIA
SOUTH DAKOTA
WISCONSIN
MARYLAND
NEBRASKA
RHODE ISLAND
OHIO
MICHIGAN
NEW JERSEY
CALIFORNIA
WEST VIRGINIA
Recipient
Recipient CRD Number    None
Bo Wang 2394019
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Landolt Securities, Inc. 28352
Street Address 1 Street Address 2
27 Bleeker Street, Suite 229
City State/Province/Country ZIP/Postal Code
Millburn NEW JERSEY 07041
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
ILLINOIS
TEXAS
FLORIDA
WASHINGTON
NEW YORK
VIRGINIA
SOUTH CAROLINA
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
MICHIGAN
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
Mike Sebald 1426782
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Landolt Securities, Inc. 28352
Street Address 1 Street Address 2
41412 N. Highway 83
City State/Province/Country ZIP/Postal Code
Antioch ILLINOIS 60002
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
TEXAS
FLORIDA
Recipient
Recipient CRD Number    None
Tingkuo Daniel Chen 2394916
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Landolt Securities, Inc. 28352
Street Address 1 Street Address 2
12900 Preston Road, Suite 700
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75230
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
ILLINOIS
TEXAS
NORTH CAROLINA
FLORIDA
KANSAS
WASHINGTON
NEW YORK
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
G. Anthony Harrigan 1817525
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lion Street Financial, LLC 165828
Street Address 1 Street Address 2
4770 Baseline Road, Suite 380
City State/Province/Country ZIP/Postal Code
Boulder COLORADO 80303
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
MINNESOTA
WYOMING
OREGON
TEXAS
FLORIDA
MISSISSIPPI
NEW YORK
VIRGINIA
COLORADO
CONNECTICUT
SOUTH DAKOTA
RHODE ISLAND
IOWA
ARIZONA
CALIFORNIA
Recipient
Recipient CRD Number    None
James Bradley Teegarden 2812366
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lion Street Financial, LLC 165828
Street Address 1 Street Address 2
4770 Baseline Road, Suite 380
City State/Province/Country ZIP/Postal Code
Boulder COLORADO 80303
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Paul S. Lee 5541067
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mirae Asset Wealth Management (USA) Inc. 147991
Street Address 1 Street Address 2
3701 Wilshire Blvd., Suite 101
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
NEW YORK
CALIFORNIA
Recipient
Recipient CRD Number    None
Money Concepts Capital Corp 12963
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
David Robert Zoellner Sr. 2094698
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
7655 Highland Road, Suite 203
City State/Province/Country ZIP/Postal Code
Waterford MICHIGAN 48327
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
TEXAS
IOWA
MICHIGAN
CALIFORNIA
Recipient
Recipient CRD Number    None
John Eugene Egan 818750
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
1200 North Federal Highway, Suite 400
City State/Province/Country ZIP/Postal Code
Boca Raton FLORIDA 33432
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
MASSACHUSETTS
INDIANA
FLORIDA
OHIO
WASHINGTON
NEW YORK
MICHIGAN
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael Leonard Whitaker 1739854
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
13940 Hwy 441, Suite 207
City State/Province/Country ZIP/Postal Code
The Villages FLORIDA 32159
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
WISCONSIN
MASSACHUSETTS
OHIO
GEORGIA
MICHIGAN
CALIFORNIA
WEST VIRGINIA
MINNESOTA
MISSOURI
WYOMING
ILLINOIS
INDIANA
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
Recipient
Recipient CRD Number    None
Peter L. Goffin 1617710
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
7700 Congress Avenue, Suite 1123
City State/Province/Country ZIP/Postal Code
Boca Raton FLORIDA 33487
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
FLORIDA
NEVADA
NEW YORK
VIRGINIA
KENTUCKY
CONNECTICUT
PENNSYLVANIA
MASSACHUSETTS
NORTH CAROLINA
GEORGIA
IDAHO
MICHIGAN
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
Philip Behram Antia 2187727
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
1200 North Federal Highway, Suite 400
City State/Province/Country ZIP/Postal Code
Boca Raton FLORIDA 33432
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
NORTH CAROLINA
FLORIDA
NEVADA
NEW YORK
VIRGINIA
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
Bo Wang 2394019
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NI Advisors 134502
Street Address 1 Street Address 2
17 Canoe Brook Drive
City State/Province/Country ZIP/Postal Code
Livingston NEW JERSEY 07039
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
ILLINOIS
TEXAS
FLORIDA
WASHINGTON
NEW YORK
VIRGINIA
SOUTH CAROLINA
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
MICHIGAN
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
Juan Hua Liang 6860076
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NI Advisors 134502
Street Address 1 Street Address 2
347 Gellert Boulevard, Suite M
City State/Province/Country ZIP/Postal Code
Daly City CALIFORNIA 94015
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
Shirley Ank Wong 4869184
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NI Advisors 134502
Street Address 1 Street Address 2
333 Gellert Blvd., Suite 201
City State/Province/Country ZIP/Postal Code
Daly City CALIFORNIA 94015
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
CALIFORNIA
Recipient
Recipient CRD Number    None
Suihock Goy 2821380
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NI Advisors 134502
Street Address 1 Street Address 2
1138 Cadillac Court
City State/Province/Country ZIP/Postal Code
Milpitas CALIFORNIA 95035
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
OREGON
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
VIRGINIA
SOUTH CAROLINA
CONNECTICUT
PENNSYLVANIA
MASSACHUSETTS
NORTH CAROLINA
MARYLAND
MAINE
ARIZONA
GEORGIA
IDAHO
MICHIGAN
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
Parkland Securities, LLC 115368
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Gregory Allen Baldwin 1476397
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
8800 SE Sunnyside Road, Suite 213N
City State/Province/Country ZIP/Postal Code
Clackamas OREGON 97015
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
NORTH CAROLINA
NEVADA
WASHINGTON
CALIFORNIA
Recipient
Recipient CRD Number    None
Martin Geddes Hurlburt 2290027
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
285 E. 950 South
City State/Province/Country ZIP/Postal Code
Orem UTAH 84058
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Ross Edwin Carson 4484587
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
6465 N. Quail Hollow Road, Suite 200
City State/Province/Country ZIP/Postal Code
Memphis TENNESSEE 38120
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
MISSISSIPPI
TENNESSEE
Recipient
Recipient CRD Number    None
Vicki Renee McConnell 2113262
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
312 W. Idaho Street
City State/Province/Country ZIP/Postal Code
Boise IDAHO 83702
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
SOUTH DAKOTA
FLORIDA
MONTANA
ARIZONA
WASHINGTON
IDAHO
Recipient
Recipient CRD Number    None
Sigma Financial Corporation 14303
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
300 Parkland Plaza
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Martin Allan Barth 1030462
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SW Financial 145012
Street Address 1 Street Address 2
1295 Walt Whitman Road, Suite A
City State/Province/Country ZIP/Postal Code
Melville NEW YORK 11747
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
NEW YORK
COLORADO
Recipient
Recipient CRD Number    None
Emmet Francis Martin Sr. 3053367
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Trustmont Financial Group, Inc. 18312
Street Address 1 Street Address 2
501 West Butler Road, Suite A
City State/Province/Country ZIP/Postal Code
Greenville SOUTH CAROLINA 29607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
DELAWARE
MINNESOTA
MASSACHUSETTS
TEXAS
NORTH CAROLINA
MARYLAND
MAINE
GEORGIA
NEW HAMPSHIRE
NEW YORK
CALIFORNIA
Recipient
Recipient CRD Number    None
Klaus Dieter Kurt Schoening Sr. 414748
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Trustmont Financial Group, Inc. 18312
Street Address 1 Street Address 2
200 Brush Run Road, Suite A
City State/Province/Country ZIP/Postal Code
Greensburg PENNSYLVANIA 15601
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
NORTH CAROLINA
FLORIDA
GEORGIA
TENNESSEE
Recipient
Recipient CRD Number    None
William Christopher Johnston IV 1051009
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Trustmont Financial Group, Inc. 18312
Street Address 1 Street Address 2
200 Brush Run Road, Suite A
City State/Province/Country ZIP/Postal Code
Greensburg PENNSYLVANIA 15601
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
TEXAS
FLORIDA
GEORGIA
VIRGINIA
Recipient
Recipient CRD Number    None
Milton Joseph Beile III 4265262
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Vestech Securities, Inc. 41409
Street Address 1 Street Address 2
1138 Cadillac Court
City State/Province/Country ZIP/Postal Code
Milpitas CALIFORNIA 95035
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
CALIFORNIA
Recipient
Recipient CRD Number    None
Mohamed Eldawy 6489642
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Vestech Securities, Inc. 41409
Street Address 1 Street Address 2
12 Greenway Plaza, Suite 1100
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77046
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
Western International Securities, Inc. 39262
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
70 S. Lake Avenue, Suite 700
City State/Province/Country ZIP/Postal Code
Pasadena CALIFORNIA 91101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Christopher Michael Dukes 4712873
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Westpark Capital, Inc. 39914
Street Address 1 Street Address 2
650 S. Westlake Boulevard, Suite 205
City State/Province/Country ZIP/Postal Code
Thousand Oaks CALIFORNIA 91362
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
OREGON
TEXAS
FLORIDA
MONTANA
KANSAS
NEVADA
NEW YORK
VIRGINIA
COLORADO
SOUTH CAROLINA
ARKANSAS
PENNSYLVANIA
NEBRASKA
ARIZONA
IDAHO
CALIFORNIA
VERMONT
Recipient
Recipient CRD Number    None
Edwin Tomohiro Suzuki 4851317
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Westpark Capital, Inc. 39914
Street Address 1 Street Address 2
1600 Dove Street, Suite 250
City State/Province/Country ZIP/Postal Code
Newport Beach CALIFORNIA 92660
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
NEVADA
ARIZONA
NEW YORK
VIRGINIA
CALIFORNIA
Recipient
Recipient CRD Number    None
Jason Bryce Vanclef 5096529
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Westpark Capital, Inc. 39914
Street Address 1 Street Address 2
8107 Loyola Blvd
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90045
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
TEXAS
NORTH CAROLINA
MARYLAND
NEVADA
ARIZONA
GEORGIA
WASHINGTON
NEW YORK
MICHIGAN
CALIFORNIA
Recipient
Recipient CRD Number    None
Patrick Morehead 6661646
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Westpark Capital, Inc. 39914
Street Address 1 Street Address 2
8107 Loyola Blvd
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90045
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
TEXAS
NORTH CAROLINA
NEVADA
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
Sheldon Singleton 2060931
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Westpark Capital, Inc. 39914
Street Address 1 Street Address 2
8107 Loyola Blvd
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90045
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Kevin Lloyd Myers 1213557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Global Wealth Management, Inc. 7388
Street Address 1 Street Address 2
1600 Pennsylvania Avenue
City State/Province/Country ZIP/Postal Code
McDonough GEORGIA 30253
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
American Portfolios Financial Services, Inc. 18487
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4250 Veterans Memorial Hwy, 4th Flr East
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
John T. Sunderland 2650445
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Fairview Securities, Inc. 35703
Street Address 1 Street Address 2
154 Long Lots Road
City State/Province/Country ZIP/Postal Code
Westport CONNECTICUT 06880
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
CONNECTICUT
MINNESOTA
ILLINOIS
MARYLAND
NEW YORK
Recipient
Recipient CRD Number    None
Kenneth Zupo 4509502
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Whitehall-Parker Securities Inc. 10608
Street Address 1 Street Address 2
1990 N. California Blvd, 8th Floor
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 94596
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
NEW YORK
CALIFORNIA
Recipient
Recipient CRD Number    None
Eric R Moore 5493237
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Peak Brokerage Services, LLC 157045
Street Address 1 Street Address 2
1070 East Indiantown Rd, Suite 208-210
City State/Province/Country ZIP/Postal Code
Jupiter FLORIDA 33477
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
DANIEL CORAL GOODWIN 5752768
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
AAG CAPITAL, INC. 188
Street Address 1 Street Address 2
25511 Budde Road, Suite 1002
City State/Province/Country ZIP/Postal Code
The Woodlands TEXAS 77380
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
X Foreign/non-US
PUERTO RICO
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
MASSACHUSETTS
MARYLAND
OHIO
GEORGIA
CALIFORNIA
UTAH
MINNESOTA
MISSOURI
ILLINOIS
OREGON
INDIANA
MISSISSIPPI
KANSAS
ALASKA
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
ARKANSAS
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
NEBRASKA
ARIZONA
TENNESSEE
NEW JERSEY
DISTRICT OF COLUMBIA
NEW MEXICO
Recipient
Recipient CRD Number    None
AGES FINANCIAL SERVICES, LTD. 15427
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
444 WASHINGTON STREET, SUITE 407
City State/Province/Country ZIP/Postal Code
WOBURN MASSACHUSETTS 01801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
X Foreign/non-US
Recipient
Recipient CRD Number    None
ROGER ALLAN ROEMMICH 1293322
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ALEXANDER CAPITAL, L.P. 40077
Street Address 1 Street Address 2
9040 Roswell Road, Suite 350
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30350
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
TEXAS
FLORIDA
NEVADA
ALABAMA
NEW YORK
VIRGINIA
SOUTH CAROLINA
CONNECTICUT
NORTH CAROLINA
MARYLAND
NEBRASKA
OHIO
GEORGIA
MICHIGAN
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
KEVIN L MYERS 1213557
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CAPE SECURITIES INC 7072
Street Address 1 Street Address 2
1600 Pennsylvania Avenue
City State/Province/Country ZIP/Postal Code
McDonough GEORGIA 30253
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
GREGORY GASTON GIBSON 1694647
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DEMPSEY LORD SMITH, LLC 141238
Street Address 1 Street Address 2
439 Congaree Road, Congaree Suites
City State/Province/Country ZIP/Postal Code
Greenville SOUTH CAROLINA 29607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
NORTH CAROLINA
FLORIDA
GEORGIA
ALABAMA
MICHIGAN
Recipient
Recipient CRD Number    None
HARRY TIMOTHY COUCH 4073942
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DEMPSEY LORD SMITH, LLC 141238
Street Address 1 Street Address 2
900 Old Dawson Village, Road East Suite 110
City State/Province/Country ZIP/Postal Code
Dawsonville GEORGIA 30534
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
PENNSYLVANIA
TEXAS
NORTH CAROLINA
FLORIDA
OHIO
GEORGIA
ALABAMA
VIRGINIA
CALIFORNIA
Recipient
Recipient CRD Number    None
PETER SCIDA 1775245
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IBN FINANCIAL SERVICES, INC. 42360
Street Address 1 Street Address 2
24 East Cota Street, Suite 200
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
ANNA MARIE OCAMPO LOVELL 5498414
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
INFINITY FINANCIAL SERVICES 144302
Street Address 1 Street Address 2
4275 Executive Square, Suite 200
City State/Province/Country ZIP/Postal Code
La Jolla CALIFORNIA 92037
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
OREGON
MASSACHUSETTS
MARYLAND
WASHINGTON
VIRGINIA
CALIFORNIA
Recipient
Recipient CRD Number    None
MARK ANGELO ALEMAN 2922342
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
INFINITY FINANCIAL SERVICES 144302
Street Address 1 Street Address 2
3404 Fillmore Street
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
NEVADA
WASHINGTON
CALIFORNIA
Recipient
Recipient CRD Number    None
KRISTIN MARIE PEARSON 4522677
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
INVICTA CAPITAL LLC 288101
Street Address 1 Street Address 2
2790 Mosside Boulevard, Suite 530
City State/Province/Country ZIP/Postal Code
Monroeville PENNSYLVANIA 15146
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
ILLINOIS
MASSACHUSETTS
TEXAS
INDIANA
NEBRASKA
GEORGIA
VIRGINIA
CALIFORNIA
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
STEPHEN WAYNE WINGARD 2746603
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LION STREET FINANCIAL, LLC 65828
Street Address 1 Street Address 2
13155 Noel Road, Suite 900
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75240
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
TEXAS
LOUISIANA
RHODE ISLAND
COLORADO
NEW JERSEY
CALIFORNIA
UTAH
Recipient
Recipient CRD Number    None
HONGFANG ZHANG 6946540
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NI ADVISORS 134502
Street Address 1 Street Address 2
7 Charter Court
City State/Province/Country ZIP/Postal Code
Basking Ridge NEW JERSEY 07920
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
ARIZONA
VIRGINIA
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
GREGORY LOUIS SCHORP 2858951
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PEAK BROKERAGE SERVICES, LLC 157045
Street Address 1 Street Address 2
401 Isom Road, Suite 205
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78216
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
CHARLES A MASSIE 4801524
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PEAK BROKERAGE SERVICES, LLC 157045
Street Address 1 Street Address 2
15961 McGregor Blvd, Suite 2
City State/Province/Country ZIP/Postal Code
Fort Myers FLORIDA 33908
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ILLINOIS
TEXAS
FLORIDA
Recipient
Recipient CRD Number    None
BRYAN K KAARLSEN 2447417
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PEAK BROKERAGE SERVICES, LLC 157045
Street Address 1 Street Address 2
401 Isom Road, Suite 205
City State/Province/Country ZIP/Postal Code
San Antonio TEXAS 78216
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
TEXAS
FLORIDA
MISSISSIPPI
ALASKA
ALABAMA
NEW YORK
VIRGINIA
COLORADO
WISCONSIN
LOUISIANA
ARIZONA
OHIO
GEORGIA
IDAHO
NEW JERSEY
OKLAHOMA
NEW MEXICO
Recipient
Recipient CRD Number    None
OMAR R SHALABI 2777244
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PEAK BROKERAGE SERVICES, LLC 157045
Street Address 1 Street Address 2
2026 Assembly Street, Suite 203
City State/Province/Country ZIP/Postal Code
Columbia SOUTH CAROLINA 29201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
PENNSYLVANIA
MASSACHUSETTS
NORTH CAROLINA
FLORIDA
GEORGIA
TENNESSEE
ALABAMA
VIRGINIA
NEW JERSEY
CALIFORNIA
Recipient
Recipient CRD Number    None
THE M & A GROUP LLC 144909
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
900 IDS Center, 80 South 8th Street
City State/Province/Country ZIP/Postal Code
Minneapolis MINNESOTA 55402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
HAWAII
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
ALABAMA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA

13. Offering and Sales Amounts

Total Offering Amount $100,000,000 USD
or    Indefinite
Total Amount Sold $87,430,746 USD
Total Remaining to be Sold $12,569,254 USD
or    Indefinite

Clarification of Response (if Necessary):

14. Investors

  
 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
1,368

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 $5,302,325 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
   Estimate

Clarification of Response (if Necessary):

Signature and Submission

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

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a 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
Lodging Fund REIT III, Inc. Corey R. Maple Corey R. Maple CEO and Secretary of the Issuer 2023-03-16

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.