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United Development Funding Land Opportunity Fund Investors LLC, et al. – ‘D/A’ on 3/16/10

On:  Tuesday, 3/16/10, at 6:54pm ET   ·   As of:  3/17/10   ·   Effective:  3/17/10   ·   Accession #:  1442128-10-1   ·   File #s:  21-121113, 21-121114

Previous ‘D’:  ‘D/A’ on 3/17/09   ·   Next & Latest:  ‘D/A’ on 3/15/11

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 3/17/10  United Dev Funding Land Oppo… LLC D/A         3/17/10    1:60K                                    United Dev Funding L… LP
          United Development Funding Land Opportunity Fund LP

Amendment to Notice of an Offering of Securities Made Without Registration   —   Form D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D/A         Amendment to Notice of an Offering of Securities    HTML     57K 
                          Made Without Registration --                           
                          primary_doc.xml/6.3                                    




        

This ‘D/A’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Amendment to Notice of an Exempt Offering of Securities
 

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
XNone
Entity Type
1442128
  Corporation
XLimited Partnership
  Limited Liability Company
  General Partnership
  Business Trust
  Other (Specify)

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

2. Principal Place of Business and Contact Information

Name of Issuer
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP
Street Address 1Street Address 2
1301 MUNICIPAL WAYSUITE 100
CityState/Province/CountryZIP/PostalCodePhone Number of Issuer
GRAPEVINETX76051817-835-0650

1. Issuer's Identity

CIK (Filer ID Number)Previous Names
XNone
Entity Type
1442125
  Corporation
  Limited Partnership
XLimited Liability Company
  General Partnership
  Business Trust
  Other (Specify)

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

2. Principal Place of Business and Contact Information

Name of Issuer
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC
Street Address 1Street Address 2
1301 MUNICIPAL WAYSUITE 100
CityState/Province/CountryZIP/PostalCodePhone Number of Issuer
GRAPEVINETX76051817-835-0650

3. Related Persons

Last NameFirst NameMiddle Name
EtterToddF
Street Address 1Street Address 2
1301 Municipal WaySuite 100
CityState/Province/CountryZIP/PostalCode
GrapevineTX76051
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
GreenlawHollisM
Street Address 1Street Address 2
1301 Municipal WaySuite 100
CityState/Province/CountryZIP/PostalCode
GrapevineTX76051
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
WissinkBenL
Street Address 1Street Address 2
1301 Municipal WaySuite 100
CityState/Province/CountryZIP/PostalCode
GrapevineTX76051
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
ObertCaraD
Street Address 1Street Address 2
1301 Municipal WaySuite 100
CityState/Province/CountryZIP/PostalCode
GrapevineTX76051
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
HaganHillary
Street Address 1Street Address 2
1301 Municipal WaySuite 100
CityState/Province/CountryZIP/PostalCode
GrapevineTX76051
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


4. Industry Group

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

5. Issuer Size

Revenue RangeORAggregate Net Asset Value Range
  No Revenues  No Aggregate Net Asset Value
  $1 - $1,000,000  $1 - $5,000,000
  $1,000,001 - $5,000,000  $5,000,001 - $25,000,000
X$5,000,001 - $25,000,000  $25,000,001 - $50,000,000
  $25,000,001 - $100,000,000  $50,000,001 - $100,000,000
  Over $100,000,000  Over $100,000,000
  Decline to Disclose  Decline to Disclose
  Not Applicable  Not Applicable

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

  Rule 504(b)(1) (not (i), (ii) or (iii))  Rule 505
  Rule 504 (b)(1)(i)XRule 506
  Rule 504 (b)(1)(ii)  Securities Act Section 4(5)
  Rule 504 (b)(1)(iii)XInvestment 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)
XSection 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 7/18/08   First Sale Yet to Occur
XAmendment

8. Duration of Offering

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

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

XEquityXPooled 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?
  YesXNo

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor$5,632USD

12. Sales Compensation

Recipient
Recipient CRD Number  None
A. Ken Flake209342
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc14503
Street Address 1Street Address 2
4606 FM 1960 WestSuite 400
CityState/Province/CountryZIP/Postal Code
HoustonTX77069
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA
CO
TX

Recipient
Recipient CRD Number  None
Andrew C. Bolt1594587
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Harrison Douglas Inc.16515
Street Address 1Street Address 2
3025 South ParkerSuite 801
CityState/Province/CountryZIP/Postal Code
AuroraCO80014
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MD
TN
TX

Recipient
Recipient CRD Number  None
Anthony Lombardi2921904
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Centaurus Financial30833
Street Address 1Street Address 2
2177 Salk AvenueSuite 180
CityState/Province/CountryZIP/Postal Code
CarlsbadCA92008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA
MI

Recipient
Recipient CRD Number  None
Robert Bragg4767535
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
15435 Gleneagle Dr.Suite 210
CityState/Province/CountryZIP/Postal Code
Colorado SpringsCO80921
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CO
FL
VA

Recipient
Recipient CRD Number  None
Robert Hinz1026405
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
600 Stewart St.Suite 602
CityState/Province/CountryZIP/Postal Code
SeattleWA98101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
HI
WA

Recipient
Recipient CRD Number  None
Robert Wamhoff2082701
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
745 Dunn Road
CityState/Province/CountryZIP/Postal Code
HazelwoodMO63042
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
FL
IL
KY
MO
TX

Recipient
Recipient CRD Number  None
Robert Tweed2339324
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
CapWest Securities Inc.30002
Street Address 1Street Address 2
2060 Huntington DriveSuite 1
CityState/Province/CountryZIP/Postal Code
San MarinoCA91108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA

Recipient
Recipient CRD Number  None
Bradley R. Calley4502601
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
IMS Securities Inc.35567
Street Address 1Street Address 2
1301 Municipal WaySuite 100
CityState/Province/CountryZIP/Postal Code
GrapevineTX76051
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Bryon Martinsen1621649
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Centaurus Financial Inc.30833
Street Address 1Street Address 2
220 Fort Salonga Rd.Suite 301C
CityState/Province/CountryZIP/Postal Code
NorthportNY11768
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
NY

Recipient
Recipient CRD Number  None
Robert Setser1005169
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Direct Capital Securities Inc.29639
Street Address 1Street Address 2
1250 S. Capital of Texas HighwayBuilding 1, Suite 410
CityState/Province/CountryZIP/Postal Code
AustinTX78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA

Recipient
Recipient CRD NumberXNone
Michael L. SampsonNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Eagle One Investments LLC45254
Street Address 1Street Address 2
401 Westview Court
CityState/Province/CountryZIP/Postal Code
WashingtonIA52353
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
IA

Recipient
Recipient CRD Number  None
Dana Kellogg2496097
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
ePlanning Securities Inc.46000
Street Address 1Street Address 2
3721 Douglas Blvd.Suite 200
CityState/Province/CountryZIP/Postal Code
RosevilleCA95661
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA

Recipient
Recipient CRD Number  None
Brian H. Breuel813742
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corporation14754
Street Address 1Street Address 2
6 Gordon Avenue
CityState/Province/CountryZIP/Postal Code
LawrencevilleNJ08648
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
NJ

Recipient
Recipient CRD Number  None
Brian D. Day-Lewis4513044
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Investors Capital30613
Street Address 1Street Address 2
3 Roberge Drive
CityState/Province/CountryZIP/Postal Code
TyngsboroMA01879
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
IN
MA

Recipient
Recipient CRD Number  None
Charles R. Byrnes III2360145
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Investors Capital30613
Street Address 1Street Address 2
230 Broadway EastSuite 203
CityState/Province/CountryZIP/Postal Code
LynnfieldMA01940
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MA

Recipient
Recipient CRD Number  None
Ferdinand Dosono2110497
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
National Securities Corporation7569
Street Address 1Street Address 2
2970 Haleko Rd.Suite 201
CityState/Province/CountryZIP/Postal Code
LihueHI96766
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
HI

Recipient
Recipient CRD Number  None
Jalon OConnell3005016
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
National Securities Corporation7569
Street Address 1Street Address 2
9300 Wilshire Blvd.Suite 420
CityState/Province/CountryZIP/Postal Code
Beverly HillsCA90212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA
HI

Recipient
Recipient CRD Number  None
Bruce M. Kimball2576920
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management120894
Street Address 1Street Address 2
1720 Oak VillageSuite 100
CityState/Province/CountryZIP/Postal Code
ArlingtonTX76017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MD
OK
TX

Recipient
Recipient CRD Number  None
Buster Godbee2284452
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Cambridge Legacy Securities103722
Street Address 1Street Address 2
101 Plaza Carmona PlaceSuite D
CityState/Province/CountryZIP/Postal Code
Hot SpringsAR71919
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
AR

Recipient
Recipient CRD Number  None
David M. Breedlove1422471
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Cambridge Legacy Securities103722
Street Address 1Street Address 2
1024 Pruitt Place
CityState/Province/CountryZIP/Postal Code
TylerTX75703
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA
TX

Recipient
Recipient CRD Number  None
David Theis1422471
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corporation14754
Street Address 1Street Address 2
103 Marty DriveSuite 101
CityState/Province/CountryZIP/Postal Code
BuffaloMN55313
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MN

Recipient
Recipient CRD NumberXNone
Michael DohertyNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corporation14754
Street Address 1Street Address 2
103 Marty DriveSuite 101
CityState/Province/CountryZIP/Postal Code
BuffaloMN55313
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MN

Recipient
Recipient CRD Number  None
Deborah Deitering729452
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
IMS Securities Inc.35567
Street Address 1Street Address 2
4205 Snug Harbor
CityState/Province/CountryZIP/Postal Code
College StationTX77545
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Dennis Van Pater1364583
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
7700 San Jacinto PlaceSuite 100
CityState/Province/CountryZIP/Postal Code
PlanoTX75024
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Dilip Shah4565670
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Cambridge Legacy Securities103722
Street Address 1Street Address 2
535 West BurnellSuite 120
CityState/Province/CountryZIP/Postal Code
LewisvilleTX75057
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Donald J. Beary15818
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
8620 W. 110th St.
CityState/Province/CountryZIP/Postal Code
Overland ParkKS66210
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
KS

Recipient
Recipient CRD Number  None
Dorann Hurley1782641
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management120894
Street Address 1Street Address 2
111 SW 4th St.
CityState/Province/CountryZIP/Postal Code
CorvallisOR97333
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
AR
CO
KS
NV
NM
OR
SD
TX
WA

Recipient
Recipient CRD NumberXNone
Douglas K. Van AllenNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management120894
Street Address 1Street Address 2
111 SW 4th St.
CityState/Province/CountryZIP/Postal Code
CorvallisOR97333
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
OR

Recipient
Recipient CRD Number  None
Gary Tad Lindsey2398788
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corporation14754
Street Address 1Street Address 2
132 E. 500 SouthSuite 1
CityState/Province/CountryZIP/Postal Code
BountifulUT84010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
UT

Recipient
Recipient CRD Number  None
Gregory M. Ellis4046935
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
6421 PerkinsSuite 1A
CityState/Province/CountryZIP/Postal Code
Baton RougeLA70808
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
LA

Recipient
Recipient CRD Number  None
Jeannette Glaza1363844
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
15435 Gleneagle Dr.Suite 210
CityState/Province/CountryZIP/Postal Code
Colorado SpringsCO80921
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CO

Recipient
Recipient CRD Number  None
Jeffrey Nesseth1983482
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corporation14754
Street Address 1Street Address 2
7000 Central Parkway NESuite 1340
CityState/Province/CountryZIP/Postal Code
Atlanta2Q30328
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA
GA
IA
NV

Recipient
Recipient CRD NumberXNone
Jeffrey AusgburgerNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corporation14754
Street Address 1Street Address 2
One Valmont Plaza4th Floor
CityState/Province/CountryZIP/Postal Code
OmahaNE68154
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
IL

Recipient
Recipient CRD Number  None
Jesse Griffin Jr.1165095
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
2646 Southwest Mapp Rd.Suite 104
CityState/Province/CountryZIP/Postal Code
Palm CityFL34990
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
FL
ME
NJ
TX

Recipient
Recipient CRD Number  None
Jim Armagost7157
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
803 West 25th St.
CityState/Province/CountryZIP/Postal Code
KearneyNE68845
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CO
MN
NE
WY

Recipient
Recipient CRD Number  None
John Gorely225973
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
182 Mine Lake CourtSuite 100
CityState/Province/CountryZIP/Postal Code
RaleighNC27615
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
DC
GA
NC

Recipient
Recipient CRD Number  None
Ken Klespies1258664
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
2212 Muirfield Way
CityState/Province/CountryZIP/Postal Code
OldsmarFL34677
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
FL
IN

Recipient
Recipient CRD Number  None
Kevin Yaley2893171
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel Fisher and Company Financial Services13609
Street Address 1Street Address 2
401 Jefferson St.
CityState/Province/CountryZIP/Postal Code
BurlingtonIA52601
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
IA

Recipient
Recipient CRD Number  None
Kim Kopacka3153396
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
IMS Securities Inc.35567
Street Address 1Street Address 2
21 Kercheval AvenueSuite 320B
CityState/Province/CountryZIP/Postal Code
Gross Point FarmsMI48236
State(s) of Solicitation (select all that apply)
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CA
GA
IL
IN
MI
VA

Recipient
Recipient CRD Number  None
Kris Etter4562123
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
IMS Securities Inc.35567
Street Address 1Street Address 2
10205 WestheimerSuite 500
CityState/Province/CountryZIP/Postal Code
HoustonTX77042
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Megan Schneider4458332
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management120894
Street Address 1Street Address 2
111 SW 4th St.
CityState/Province/CountryZIP/Postal Code
CorvallisOR97333
State(s) of Solicitation (select all that apply)
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OR

Recipient
Recipient CRD Number  None
MF Long II1778299
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
5800 Granite ParkwaySuite 100
CityState/Province/CountryZIP/Postal Code
PlanoTX75024
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Michael Staines5303142
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel Fisher and Company Financial Services Inc.13609
Street Address 1Street Address 2
300 Harding Blvd.Suite 209
CityState/Province/CountryZIP/Postal Code
RosevilleCA95678
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
AZ
CA
NJ

Recipient
Recipient CRD Number  None
Mike Henry243365
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Cambridge Legacy Securities103722
Street Address 1Street Address 2
2028 E. Ben White Blvd.Suite 500
CityState/Province/CountryZIP/Postal Code
AustinTX78741
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Nir Regev1847410
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
261 Clarkson Executive Park
CityState/Province/CountryZIP/Postal Code
EllisvilleMO63011
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
MO

Recipient
Recipient CRD Number  None
Paul Burkemper2222925
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
10825 Watson Rd.Suite 100
CityState/Province/CountryZIP/Postal Code
St. LouisMO63127
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
MO

Recipient
Recipient CRD Number  None
Randy Stevenson2114058
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
719 W. Front St.Suite 176
CityState/Province/CountryZIP/Postal Code
TylerTX75702
State(s) of Solicitation (select all that apply)
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TX

Recipient
Recipient CRD Number  None
Robert J. Kramer1715096
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
2116 N. CourtSuite 1
CityState/Province/CountryZIP/Postal Code
OttumwaIA52501
State(s) of Solicitation (select all that apply)
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IA

Recipient
Recipient CRD Number  None
John Redfearn III2771876
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corporation14754
Street Address 1Street Address 2
7000 Central Parkway NESuite 1340
CityState/Province/CountryZIP/Postal Code
AtlantaGA30328
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
GA
MO
NV

Recipient
Recipient CRD Number  None
Russell Childs1192883
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Cambridge Legacy Securities103722
Street Address 1Street Address 2
4100 Spring Valley Rd.Suite 500
CityState/Province/CountryZIP/Postal Code
DallasTX75244
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Ryan Benning4205469
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel Fisher and Company Financial Services13609
Street Address 1Street Address 2
931 S. Washington St.Suite 1
CityState/Province/CountryZIP/Postal Code
BismarkND58504
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
ND

Recipient
Recipient CRD Number  None
Shawn Davis2911230
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel Fisher and Company Financial Services13609
Street Address 1Street Address 2
300 Harding Blvd.Suite 209
CityState/Province/CountryZIP/Postal Code
RosevilleCA95678
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
CA

Recipient
Recipient CRD NumberXNone
Steven ShirleyNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services14503
Street Address 1Street Address 2
8620 W. 110th St.Suite 200
CityState/Province/CountryZIP/Postal Code
Overland ParkKS66210
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Terry L. Sonnenfeld2216263
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management120894
Street Address 1Street Address 2
902 E. 2nd StreetSuite 150
CityState/Province/CountryZIP/Postal Code
WinonaMN55987
State(s) of Solicitation (select all that apply)
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MN

Recipient
Recipient CRD Number  None
Allan W. Cranfill2346578
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
3601 North Robison Road
CityState/Province/CountryZIP/Postal Code
TexarkanaTX75501
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Mikiel R. Featherston1885948
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
7200 North Mopac ExpresswaySuite 320
CityState/Province/CountryZIP/Postal Code
AustinTX78731
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Lisa Allen1198978
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
7200 North Mopac ExpresswaySuite 320
CityState/Province/CountryZIP/Postal Code
AustinTX78731
State(s) of Solicitation (select all that apply)
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  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Alvery A. Bartlett Jr.13975
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel Fisher and Company Financial Services Inc.13609
Street Address 1Street Address 2
8000 Maryland AvenueSuite 1031
CityState/Province/CountryZIP/Postal Code
St. LouisMO63105
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
MO

Recipient
Recipient CRD Number  None
Andrew J. Crabb3077317
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management120894
Street Address 1Street Address 2
9055 E. Mineral CircleSuite 200
CityState/Province/CountryZIP/Postal Code
CentennialCO80112
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
CO

Recipient
Recipient CRD Number  None
William M. Conroy III1345235
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
600 Stewart StreetSuite 602
CityState/Province/CountryZIP/Postal Code
SeattleWA98101
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
WA

Recipient
Recipient CRD Number  None
Richard M. Braverman1023227
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management Inc.120894
Street Address 1Street Address 2
2173 Embassy Drive
CityState/Province/CountryZIP/Postal Code
LancasterPA17603
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
PA

Recipient
Recipient CRD Number  None
Samuel R. Monchik4113886
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management Inc.120894
Street Address 1Street Address 2
2173 Embassy Drive
CityState/Province/CountryZIP/Postal Code
LancasterPA17603
State(s) of Solicitation (select all that apply)
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  All States
  Foreign/non-US
PA

Recipient
Recipient CRD Number  None
Brian M. Borakowski4093679
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel Fisher and Company Financial Services Inc.13609
Street Address 1Street Address 2
936 N 87th Place
CityState/Province/CountryZIP/Postal Code
ScottsdaleAZ85257
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
AZ

Recipient
Recipient CRD Number  None
Charles E. Ohara735399
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Symetra Investment Services Inc.19061
Street Address 1Street Address 2
342 Broadway
CityState/Province/CountryZIP/Postal Code
NewportRI02840
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
RI

Recipient
Recipient CRD Number  None
Charles R. Elhoff Jr.76936
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
1000 Ballpark WaySuite 214
CityState/Province/CountryZIP/Postal Code
ArlingtonTX76011
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Charles R. Fischer1186289
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
IMS Securities Inc.35567
Street Address 1Street Address 2
1500 Valley River Dr.Suite 315
CityState/Province/CountryZIP/Postal Code
EugeneOR97401
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
OR

Recipient
Recipient CRD Number  None
Cheri L. Johnson2823107
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Kaiser and Company14186
Street Address 1Street Address 2
5790 Soundview DriveSuite 201A
CityState/Province/CountryZIP/Postal Code
Gig HarborWA14186
State(s) of Solicitation (select all that apply)
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  All States
  Foreign/non-US
WA

Recipient
Recipient CRD Number  None
Christopher I. Hall4654096
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corp.14754
Street Address 1Street Address 2
2826 NW Windham LP
CityState/Province/CountryZIP/Postal Code
BendOR97701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
OR

Recipient
Recipient CRD Number  None
Charles R. Bigbie III1158301
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management Inc.120894
Street Address 1Street Address 2
7233 S 85th E AvenueSuite 400
CityState/Province/CountryZIP/Postal Code
TulsaOK74133
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
OK

Recipient
Recipient CRD Number  None
Denton L. Smith427316
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Wealth Management Inc.120894
Street Address 1Street Address 2
64 East BroadwaySuite 215
CityState/Province/CountryZIP/Postal Code
TempeAZ85282
State(s) of Solicitation (select all that apply)
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  Foreign/non-US
AZ

Recipient
Recipient CRD Number  None
Elizabeth R. Huckeby4061056
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corp.14754
Street Address 1Street Address 2
357 S. McCaslin BlvdSuite 200
CityState/Province/CountryZIP/Postal Code
LouisvilleCO80027
State(s) of Solicitation (select all that apply)
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  All States
  Foreign/non-US
CO

Recipient
Recipient CRD Number  None
Eric P. Weschke2486324
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Alternative Wealth Strategies130933
Street Address 1Street Address 2
11 Dorn Court
CityState/Province/CountryZIP/Postal Code
SetauketNY11733
State(s) of Solicitation (select all that apply)
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  All States
  Foreign/non-US
NY

Recipient
Recipient CRD Number  None
FW Libardono Jr706551
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Investors Capital Corp.30613
Street Address 1Street Address 2
70 Washington StreetSuite 103
CityState/Province/CountryZIP/Postal Code
SalemMA01970
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
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  Foreign/non-US
MA

Recipient
Recipient CRD Number  None
Gary D. Gray4171086
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Newbridge Securities Corporation104065
Street Address 1Street Address 2
7700 N. Kendall DriveSuite 408
CityState/Province/CountryZIP/Postal Code
MiamiFL33156
State(s) of Solicitation (select all that apply)
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  All States
  Foreign/non-US
FL

Recipient
Recipient CRD Number  None
Gary C. Haack2796834
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
WFG Investments Inc.22704
Street Address 1Street Address 2
16500 San PedroSuite 300
CityState/Province/CountryZIP/Postal Code
San AntonioTX78232
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Gene L. Fahlsing1285592
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Capital Financial Services Inc.8408
Street Address 1Street Address 2
20410 Brookmont Rd.
CityState/Province/CountryZIP/Postal Code
MorrisonCO80465
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CO

Recipient
Recipient CRD Number  None
Gregory L. Gibson4348507
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Investors Capital Corp.30613
Street Address 1Street Address 2
4171 Poplar Avenue
CityState/Province/CountryZIP/Postal Code
MemphisTN38117
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TN

Recipient
Recipient CRD Number  None
Gregory S. Kuras1444445
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
American Portfolios Financial Services18487
Street Address 1Street Address 2
200 Highway 71
CityState/Province/CountryZIP/Postal Code
Spring Lake HeightsNJ07762
State(s) of Solicitation (select all that apply)
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  All States
  Foreign/non-US
NJ

Recipient
Recipient CRD Number  None
James O. Conaway1920946
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Services14754
Street Address 1Street Address 2
3000 E. BirchSuite 109
CityState/Province/CountryZIP/Postal Code
BreaCA92821
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
NY

Recipient
Recipient CRD Number  None
James R. Slacke1531064
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Centaurus Financial Inc.30833
Street Address 1Street Address 2
940 Saratoga AvenueSuite 107
CityState/Province/CountryZIP/Postal Code
San JoseCA95129
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA

Recipient
Recipient CRD Number  None
Jason A. McGinty4499263
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Centaurus Financial Inc.30833
Street Address 1Street Address 2
2300 E. Katella AvenueSuite 200
CityState/Province/CountryZIP/Postal Code
AnaheimCA92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Jason D. Waxler1756279
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
American Portfolios Financial Services18487
Street Address 1Street Address 2
134 Huntville Road
CityState/Province/CountryZIP/Postal Code
KatonahNY10536
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
NY

Recipient
Recipient CRD Number  None
John J. Herrod5626076
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Berthel Fisher and Company Financial Services Inc13609
Street Address 1Street Address 2
1474 Stone Point Drive
CityState/Province/CountryZIP/Postal Code
RosevilleCA95661
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA

Recipient
Recipient CRD Number  None
Jay A. Wallinger2407056
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
113 North Main
CityState/Province/CountryZIP/Postal Code
StuartNE68780
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CO
NE

Recipient
Recipient CRD Number  None
Jeffrey G. Meyers2192759
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
QA3 Financial Corp.14754
Street Address 1Street Address 2
8717 W 110th St.Suite 620
CityState/Province/CountryZIP/Postal Code
Overland ParkKS66210
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
IN

Recipient
Recipient CRD Number  None
James D. Phelan362251
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
IMS Securities Inc.35567
Street Address 1Street Address 2
4412 Spicewood SpringsSuite 300
CityState/Province/CountryZIP/Postal Code
AustinTX78759
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
James R. Kennedy1961588
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
106 South Seaman Street
CityState/Province/CountryZIP/Postal Code
EastlandTX76448
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
John D. Crockett1463224
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Centaurus Financial Inc.30833
Street Address 1Street Address 2
16825 48th Avenue WestSuite 112
CityState/Province/CountryZIP/Postal Code
LynnwoodWA98037
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
WA

Recipient
Recipient CRD Number  None
John H. Towers700221
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
5800 Granite ParkwaySuite 100
CityState/Province/CountryZIP/Postal Code
PlanoTX75024
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
John T. Lady2045202
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
330 Pelham RoadSuite 101B
CityState/Province/CountryZIP/Postal Code
GreenvilleSC29615
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
SC

Recipient
Recipient CRD Number  None
Steven D. Kaestner2844064
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
933 East Britton
CityState/Province/CountryZIP/Postal Code
Oklahoma CityOK73114
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
OK

Recipient
Recipient CRD Number  None
Michael H. Cunningham2499939
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
933 East Britton
CityState/Province/CountryZIP/Postal Code
Oklahoma CityOK73114
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
OK

Recipient
Recipient CRD Number  None
Karl F. Frank4769985
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Geneos Walth Management Inc.120894
Street Address 1Street Address 2
9780 Mt Pyramid CourtSuite 130
CityState/Province/CountryZIP/Postal Code
EnglewoodCO80112
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CO

Recipient
Recipient CRD Number  None
Kenneth W. Finnell1184110
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Newport Coast Securities Inc.16944
Street Address 1Street Address 2
43460 Ridge Park DriveSuite 200
CityState/Province/CountryZIP/Postal Code
TemeculaCA92590
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA

Recipient
Recipient CRD Number  None
Kevin N. Nevin2460059
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
1660 Highway 100 SouthSiute 500
CityState/Province/CountryZIP/Postal Code
St. Louis ParkMN55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MN

Recipient
Recipient CRD Number  None
Kraig W. Killough2463476
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
EDI Financial Inc.15699
Street Address 1Street Address 2
4265 San Felipe St.Suite 1100
CityState/Province/CountryZIP/Postal Code
HoustonTX77027
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TX

Recipient
Recipient CRD Number  None
Kimberly A. Barry4790882
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
TNP Securities LLC149178
Street Address 1Street Address 2
2999 Oak RoadSuite 800
CityState/Province/CountryZIP/Postal Code
Walnut CreekCA94597
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CA

Recipient
Recipient CRD Number  None
Lawrence Smith2378563
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Investors Capital Corp.30613
Street Address 1Street Address 2
800 Summer StreetSuite 415
CityState/Province/CountryZIP/Postal Code
StamfordCT06901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CT

Recipient
Recipient CRD Number  None
Lawrence Breen III1333876
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
1515 International ParkwaySuite 1019
CityState/Province/CountryZIP/Postal Code
Lake MaryFL32746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MO

Recipient
Recipient CRD Number  None
Linda S. Collier1304049
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
VSR Financial Services Inc.14503
Street Address 1Street Address 2
2150 North 107th StreetSuite 521
CityState/Province/CountryZIP/Postal Code
SeattleWA98133
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
WA

13. Offering and Sales Amounts

Total Offering Amount$124,950,000USD
or  Indefinite
Total Amount Sold$23,336,490USD
Total Remaining to be Sold$101,613,510USD
or  Indefinite

Clarification of Response (if Necessary):

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

14. Investors

X
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
22
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:
505

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions$8,743,000USD
XEstimate
Finders' Fees$0USD
  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.

$0USD
  Estimate

Clarification of Response (if Necessary):

Signature and Submission

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

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

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

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

IssuerSignatureName of SignerTitleDate
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP/Hollis M. Greenlaw/Hollis M. GreenlawPresident of managing member of gp of Issuer gp 3/16/10
UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC/Hollis M. Greenlaw/Hollis M. GreenlawPres. of managing member of gp of Issuer managing member 3/16/10

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.


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