Lincoln Life Flexible Premium Variable Life Account Z D Indefinite amount in investment fund, sold $2.02 bn, 115 investors

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

0001257734

	Corporation
	Limited Partnership
	Limited Liability Company
	General Partnership
	Business Trust
X	Other (Specify)

Insurance Company Separate Account

Name of Issuer

LINCOLN LIFE FLEXIBLE PREMIUM VARIABLE LIFE ACCOUNT Z

Jurisdiction of Incorporation/Organization

INDIANA

Year of Incorporation/Organization

X	Over Five Years Ago
	Within Last Five Years (Specify Year)
	Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
LINCOLN LIFE FLEXIBLE PREMIUM VARIABLE LIFE ACCOUNT Z
Street Address 1		Street Address 2
1300 South Clinton Street
City	State/Province/Country	ZIP/PostalCode	Phone Number of Issuer
Fort Wayne	INDIANA	46802	800-454-6265

3. Related Persons

Last Name	First Name	Middle Name
Cooper	Ellen
Street Address 1	Street Address 2
150 North Radnor Chester Road
City	State/Province/Country	ZIP/PostalCode
Radnor	PENNSYLVANIA	19087

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Beizer	Craig
Street Address 1	Street Address 2
150 North Radnor Chester Road
City	State/Province/Country	ZIP/PostalCode
Radnor	PENNSYLVANIA	19087

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Freitag	Randall
Street Address 1	Street Address 2
150 North Radnor Chester Road
City	State/Province/Country	ZIP/PostalCode
Radnor	PENNSYLVANIA	19087

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Ryan	Keith	J
Street Address 1	Street Address 2
1300 South Clinton Street
City	State/Province/Country	ZIP/PostalCode
Fort Wayne	INDIANA	46802

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Bronchetti	Jayson	R.
Street Address 1	Street Address 2
150 North Radnor Chester Road
City	State/Province/Country	ZIP/PostalCode
Radnor	PENNSYLVANIA	19087

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

4. Industry Group

Agriculture

Banking & Financial Services

	Commercial Banking
X	Insurance
	Investing
	Investment Banking
	Pooled Investment Fund
	Is the issuer registered as an investment company under the Investment Company Act of 1940?
	Yes No
	Other Banking & Financial Services

Business Services

Energy

Coal Mining

Electric Utilities

Energy Conservation

Environmental Services

Oil & Gas

Other Energy

Health Care

Biotechnology

Health Insurance

Hospitals & Physicians

Pharmaceuticals

Other Health Care

Manufacturing

Real Estate

Commercial

Construction

REITS & Finance

Residential

Other Real Estate

Retailing

Restaurants

Technology

Computers

Telecommunications

Other Technology

Travel

Airlines & Airports

Lodging & Conventions

Tourism & Travel Services

Other Travel

Other

5. Issuer Size

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

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

Rule 504(b)(1) (not (i), (ii) or (iii)) Rule 504 (b)(1)(i) Rule 504 (b)(1)(ii) Rule 504 (b)(1)(iii) Rule 506(b) Rule 506(c) Securities Act Section 4(a)(5)

X Investment Company Act Section 3(c) X Section 3(c)(1) Section 3(c)(9)   Section 3(c)(2) Section 3(c)(10) Section 3(c)(3) Section 3(c)(11) Section 3(c)(4) Section 3(c)(12) Section 3(c)(5) Section 3(c)(13) Section 3(c)(6) Section 3(c)(14) X Section 3(c)(7)

7. Type of Filing

X	New Notice	Date of First Sale	2007-02-01	First Sale Yet to Occur
	Amendment

8. Duration of Offering

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

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

Equity	X	Pooled Investment Fund Interests
Debt		Tenant-in-Common Securities
Option, Warrant or Other Right to Acquire Another Security		Mineral Property Securities
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security	X	Other (describe)
	Interest in Separate Account issued pursuant to variable life insurance policies.

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 $1,000,000 USD

12. Sales Compensation

Recipient	Recipient CRD Number None
Andrew P. Kraus	2180309
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Merrill Lynch	7691
Street Address 1	Street Address 2
4800 Deer Lake Drive
City	State/Province/Country	ZIP/Postal Code
Jacksonville	FLORIDA	32246
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
William E. Schantz II	1923047
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M. Holdings Securities, Inc.	43285
Street Address 1	Street Address 2
205 S. E. Spokane Street
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97202-6413
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE PENNSYLVANIA TEXAS

Recipient	Recipient CRD Number None
William J. Folan	1881520
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Executive Services Securities, Inc.	25299
Street Address 1	Street Address 2
3445 Peachtreet Road NE
City	State/Province/Country	ZIP/Postal Code
Atlanta	GEORGIA	30326-1156
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DISTRICT OF COLUMBIA GEORGIA NEW YORK

Recipient	Recipient CRD Number None
Raymond Vandegrift, Sr	4384430
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Advisors, LLC	6627
Street Address 1	Street Address 2
40 Monument Road
City	State/Province/Country	ZIP/Postal Code
Bala Cynwyd	PENNSYLVANIA	19004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA GEORGIA MARYLAND NEW JERSEY PENNSYLVANIA

Recipient	Recipient CRD Number None
Jimmy Edwards	4342552
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M. Holdings Securities, Inc.	43285
Street Address 1	Street Address 2
205 S. E. Spokane Street
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE PENNSYLVANIA TEXAS

Recipient	Recipient CRD Number None
Brian J. Burns	1548913
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Morgan Stanley DW Inc	149777
Street Address 1	Street Address 2
Harborside Fincl. Center Plaza II	34 Exchange Pl. Fl. 7
City	State/Province/Country	ZIP/Postal Code
Jersey City	NEW JERSEY	07311
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA FLORIDA GEORGIA NEW JERSEY NEW YORK

Recipient	Recipient CRD Number None
Michael D. Marchiano	4663748
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Morgan Stanley DW Inc.	149777
Street Address 1	Street Address 2
Harborside Fincl. Center Plaza II	34 Exchange Pl. Fl. 7
City	State/Province/Country	ZIP/Postal Code
Jersey City	NEW JERSEY	07311
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CONNECTICUT FLORIDA GEORGIA MASSACHUSETTS NEW JERSEY NEW YORK PENNSYLVANIA

Recipient	Recipient CRD Number None
Eric Wittenmyer	2409548
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AON Executive Benefits, Inc.	4138
Street Address 1	Street Address 2
365 Piedmont Road NE	One Piedmont Center, Suite 600
City	State/Province/Country	ZIP/Postal Code
Atlanta	GEORGIA	30305
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ILLINOIS IOWA OHIO

Recipient	Recipient CRD Number None
Peter T. Scott	4013005
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
MMA Securities	44254
Street Address 1	Street Address 2
Eight Tower Bridge	Ste. 1200
City	State/Province/Country	ZIP/Postal Code
Conshohocken	PENNSYLVANIA	19428
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW JERSEY NEW YORK

Recipient	Recipient CRD Number None
Michael D. Shannon	1314743
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
The Newport Group, Inc.	29722
Street Address 1	Street Address 2
300 International Parkway	Suite 270
City	State/Province/Country	ZIP/Postal Code
Heathrow	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA COLORADO DELAWARE FLORIDA GEORGIA NORTH CAROLINA PENNSYLVANIA

Recipient	Recipient CRD Number None
Charles Steinberg	1624429
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Aon Consulting, Inc.	4138
Street Address 1	Street Address 2
3565 Piedmont Road	NE. Bldg. 1 Ste. 600
City	State/Province/Country	ZIP/Postal Code
Atlanta	GEORGIA	30335
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE ILLINOIS NEW JERSEY NEW MEXICO NEW YORK OHIO PENNSYLVANIA

Recipient	Recipient CRD Number None
David W. Stecher	1594959
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
NFP Securities	42046
Street Address 1	Street Address 2
1250 Capital of Texas Parkway	Suite 2125
City	State/Province/Country	ZIP/Postal Code
Austin	TEXAS	78746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO DELAWARE FLORIDA GEORGIA ILLINOIS IOWA MARYLAND NEW JERSEY NEW YORK NORTH CAROLINA PENNSYLVANIA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
William R. Holton	1034277
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Northwestern Mutual Investment Services	2881
Street Address 1	Street Address 2
611 E. Wisconsin Avenue	E131
City	State/Province/Country	ZIP/Postal Code
Milwaukee	WISCONSIN	53202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE OHIO

Recipient	Recipient CRD Number None
John Teti	1018336
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Advisors	6627
Street Address 1	Street Address 2
Belmont Avenue	Ste 1100
City	State/Province/Country	ZIP/Postal Code
Bala Cynwyd	PENNSYLVANIA	19004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA CONNECTICUT DELAWARE FLORIDA GEORGIA ILLINOIS INDIANA MARYLAND MISSOURI NEVADA NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA SOUTH CAROLINA UTAH VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
George V. Blaha	1611833
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Northwestern Mutual Investment Services	2881
Street Address 1	Street Address 2
611 E. Wisconsin Avenue	E131
City	State/Province/Country	ZIP/Postal Code
Milwaukee	WISCONSIN	53202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA COLORADO CONNECTICUT DELAWARE FLORIDA GEORGIA ILLINOIS INDIANA IOWA KENTUCKY MARYLAND MASSACHUSETTS MICHIGAN MISSOURI NEVADA NEW HAMPSHIRE NEW JERSEY NORTH CAROLINA OHIO OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TENNESSEE TEXAS VERMONT WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Bruce Hamilton Brownwell	1779959
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Lion Street Financial	165828
Street Address 1	Street Address 2
216 Clatter Bridge Road
City	State/Province/Country	ZIP/Postal Code
Ponte Vedra Beach	FLORIDA	32081
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO DELAWARE FLORIDA GEORGIA NEW YORK NORTH CAROLINA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Brian Donofry	2820997
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Kestra Investments	42046
Street Address 1	Street Address 2
2600 Kelly Road	Ste. 210
City	State/Province/Country	ZIP/Postal Code
Warrington	PENNSYLVANIA	18976
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
James S Bosely	4498362
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M. Holdings Securities Inc.	43285
Street Address 1	Street Address 2
205 Spokane Street
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA FLORIDA GEORGIA IDAHO ILLINOIS INDIANA KENTUCKY LOUISIANA MICHIGAN MINNESOTA MISSOURI NEVADA NEW YORK NORTH CAROLINA OKLAHOMA OREGON TEXAS WASHINGTON

Recipient	Recipient CRD Number None
Nick Della Vedova	2884873
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
NFP Securities	42046
Street Address 1	Street Address 2
1250 Capital Texas Pkwy	Suite 2125
City	State/Province/Country	ZIP/Postal Code
Austin	TEXAS	78746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA DELAWARE GEORGIA LOUISIANA NEW HAMPSHIRE NEW YORK TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Robert C. Whittington	2661019
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial Services	8174
Street Address 1	Street Address 2
1000 Harbor Blvd.	7th Floor
City	State/Province/Country	ZIP/Postal Code
Weehawken	NEW JERSEY	07070
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
Thomas J. Cleary	1506072
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial Services	8174
Street Address 1	Street Address 2
1000 Harbor Blvd.	7th Floor
City	State/Province/Country	ZIP/Postal Code
weehawken	NEW JERSEY	07070
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA FLORIDA GEORGIA ILLINOIS INDIANA MICHIGAN NEW JERSEY NEW YORK NORTH CAROLINA OREGON TENNESSEE

Recipient	Recipient CRD Number None
Gary Block	1666471
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Triad Advisors	25803
Street Address 1	Street Address 2
4000 Midlantic Drive	Ste. 300
City	State/Province/Country	ZIP/Postal Code
Mount Laurel	NEW JERSEY	08054
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALASKA CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA RHODE ISLAND SOUTH DAKOTA TENNESSEE TEXAS VERMONT VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
William Schantz	1923047
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M Holdings Securities, Inc.	43285
Street Address 1	Street Address 2
600 Hamilton Street	Suite 900
City	State/Province/Country	ZIP/Postal Code
Allentown	PENNSYLVANIA	18101
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE PENNSYLVANIA

Recipient	Recipient CRD Number None
Trent Sanden	2877664
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial Services	8174
Street Address 1	Street Address 2
925 4th Avenue	31st & 32nd Floor
City	State/Province/Country	ZIP/Postal Code
Seattle	WASHINGTON	98104
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA CALIFORNIA COLORADO DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS IOWA MASSACHUSETTS MICHIGAN MONTANA NEW MEXICO NEW YORK NORTH CAROLINA OHIO OREGON PENNSYLVANIA SOUTH CAROLINA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN WYOMING

Recipient	Recipient CRD Number None
John M. Nash	2710517
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Merrill Lynch	7691
Street Address 1	Street Address 2
4800 Deer Lake Dr.
City	State/Province/Country	ZIP/Postal Code
E. Jacksonville	FLORIDA	32246
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA COLORADO DELAWARE GEORGIA NEW JERSEY UTAH WASHINGTON

Recipient	Recipient CRD Number None
Maurice Storch	2555824
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Merrill Lynch	7691
Street Address 1	Street Address 2
4800 Deer Lake
City	State/Province/Country	ZIP/Postal Code
E. Jacksonville	FLORIDA	32246
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA PUERTO RICO RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Andrew Wilshinsky	2153192
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Morgan Stanley	149777
Street Address 1	Street Address 2
One Penn Plaz	43rd floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10119
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO CONNECTICUT FLORIDA GEORGIA ILLINOIS MAINE MARYLAND MASSACHUSETTS MINNESOTA NEW HAMPSHIRE NEW JERSEY NEW YORK NORTH CAROLINA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Scott Lane	1909638
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Northwester Mutual Investment Services	2881
Street Address 1	Street Address 2
611 E. Wisconsin Ave	E131
City	State/Province/Country	ZIP/Postal Code
Milwaukee	WISCONSIN	53202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE TEXAS

Recipient	Recipient CRD Number None
Shawn Hintz	2626246
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial Services	8174
Street Address 1	Street Address 2
925 4th Avenue	31 & 32 Floor
City	State/Province/Country	ZIP/Postal Code
Seattle	WASHINGTON	98104
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA CALIFORNIA COLORADO DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO IOWA MASSACHUSETTS MICHIGAN MONTANA NEW MEXICO NEW YORK NORTH CAROLINA OHIO OREGON PENNSYLVANIA SOUTH CAROLINA TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Joseph Notarfrancesco	6006136
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Morgan Stanley	149777
Street Address 1	Street Address 2
One Penn Plaza	43rd Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10119
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO CONNECTICUT FLORIDA ILLINOIS MAINE MARYLAND MASSACHUSETTS MINNESOTA NEW HAMPSHIRE NEW JERSEY NEW YORK NORTH CAROLINA PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS UTAH VERMONT VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
David Cammack	2752356
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group Securities	29722
Street Address 1	Street Address 2
8350 North Central Expressway	Suite 900
City	State/Province/Country	ZIP/Postal Code
Dallas	TEXAS	75206
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS INDIANA LOUISIANA MASSACHUSETTS MICHIGAN MISSISSIPPI MISSOURI NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Adam C. Monson	6037491
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Valmark Securities, Inc	31243
Street Address 1	Street Address 2
600 36th Street
City	State/Province/Country	ZIP/Postal Code
Newport Beach	CALIFORNIA	92663
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO DELAWARE GEORGIA MARYLAND MICHIGAN MINNESOTA UTAH

Recipient	Recipient CRD Number None
Andrew P. Arigo	2949837
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group Securities, Inc.	29722
Street Address 1	Street Address 2
300 International Parkway	Suite 270
City	State/Province/Country	ZIP/Postal Code
Heathrow	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE FLORIDA MISSISSIPPI

Recipient	Recipient CRD Number None
John B. Mott	717201
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Morgan Stanley & Co	8209
Street Address 1	Street Address 2
New York Plaza 12
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE LOUISIANA TEXAS

Recipient	Recipient CRD Number None
Kirk Penland	3203257
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
VOYA Financial Partners	34815
Street Address 1	Street Address 2
7638 Southfront Road	Ste. 120
City	State/Province/Country	ZIP/Postal Code
Livermore	CALIFORNIA	94551
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA

Recipient	Recipient CRD Number None
Corby N. Dall	2060321
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Linsco/Private Ledger	6413
Street Address 1	Street Address 2
97885 Towne Centre Drive
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92121-1968
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE UTAH

Recipient	Recipient CRD Number None
Bryant Kirk	1049653
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Capacuity Securities, Inc.	15384
Street Address 1	Street Address 2
300 International Parkway	Ste. 350
City	State/Province/Country	ZIP/Postal Code
Lake Mary	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA CONNECTICUT DELAWARE FLORIDA GEORGIA ILLINOIS INDIANA LOUISIANA MARYLAND MASSACHUSETTS MISSOURI NEBRASKA NEW HAMPSHIRE NEW JERSEY NEW YORK OKLAHOMA OREGON PENNSYLVANIA PUERTO RICO RHODE ISLAND SOUTH CAROLINA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Phillip L. Currie, Jr.	1942867
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Valmark Securities	31243
Street Address 1	Street Address 2
130 Springside Drive	Number 300
City	State/Province/Country	ZIP/Postal Code
Akron	OHIO	44333
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA DELAWARE UTAH

Recipient	Recipient CRD Number None
Rhonda Miller	2817273
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M. Holdings Securities, Inc.	43285
Street Address 1	Street Address 2
205 S.E. Spokane Street
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97202-6413
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA CONNECTICUT DELAWARE FLORIDA MARYLAND MASSACHUSETTS NEW YORK NORTH CAROLINA TEXAS UTAH

Recipient	Recipient CRD Number None
Mihir Patel	4587238
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Morgan Stanley	149777
Street Address 1	Street Address 2
One Penn Plaza	43rd Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10119
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Eric Wilson Bailey	2327900
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Capfinancial Securities	126291
Street Address 1	Street Address 2
4208 Six Forks Road	Ste. 1700
City	State/Province/Country	ZIP/Postal Code
Raleigh	NORTH CAROLINA	27609
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA FLORIDA INDIANA MICHIGAN NORTH CAROLINA

Recipient	Recipient CRD Number None
Brian M. Sharkey	1623328
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Advisors	6627
Street Address 1	Street Address 2
40 Monument Road
City	State/Province/Country	ZIP/Postal Code
Bala Cynwyd	PENNSYLVANIA	19004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARKANSAS CALIFORNIA DELAWARE ILLINOIS IOWA KANSAS KENTUCKY MARYLAND MONTANA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OREGON PENNSYLVANIA RHODE ISLAND SOUTH DAKOTA UTAH VERMONT WASHINGTON WYOMING

Recipient	Recipient CRD Number None
Robert J. Rainey	1794685
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Lion Street Financial	165828
Street Address 1	Street Address 2
12056 N. Saltaire Drive
City	State/Province/Country	ZIP/Postal Code
Highland	UTAH	84003
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARKANSAS CALIFORNIA HAWAII LOUISIANA NEVADA NORTH CAROLINA PENNSYLVANIA UTAH

Recipient	Recipient CRD Number None
Kenneith G. Gibson	1192002
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Lion Street Financial	165828
Street Address 1	Street Address 2
12056 N. Saltaire Drive
City	State/Province/Country	ZIP/Postal Code
Highland	UTAH	84003
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA NORTH CAROLINA PENNSYLVANIA UTAH

Recipient	Recipient CRD Number None
Craig A. Rutledge	1800720
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Lion Street Financial	16528
Street Address 1	Street Address 2
12056 N. Saltine Drive
City	State/Province/Country	ZIP/Postal Code
Highland	UTAH	84003
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA NEVADA UTAH

Recipient	Recipient CRD Number None
Kelley F. Snook	2437169
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Triad Advisors	25803
Street Address 1	Street Address 2
3254 University Drive	Suite 190
City	State/Province/Country	ZIP/Postal Code
Auburn Hills	MICHIGAN	48326
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
MICHIGAN MINNESOTA

Recipient	Recipient CRD Number None
Thomas E. Miller	856008
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Lion Street Financial	165828
Street Address 1	Street Address 2
12056 N. Saltaire Drive
City	State/Province/Country	ZIP/Postal Code
Highland	UTAH	84003
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARKANSAS CALIFORNIA DELAWARE HAWAII IOWA LOUISIANA NORTH CAROLINA PENNSYLVANIA UTAH

Recipient	Recipient CRD Number None
Sean P. Devlin	2782108
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group Securities, Inc.	29722
Street Address 1	Street Address 2
300 International Parkway	Suite 270
City	State/Province/Country	ZIP/Postal Code
Heathrow	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA CALIFORNIA COLORADO CONNECTICUT DELAWARE FLORIDA GEORGIA HAWAII ILLINOIS INDIANA KANSAS MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA RHODE ISLAND TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Andrew A. Goldman	1023255
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Advisors, LLC	6627
Street Address 1	Street Address 2
40 Monument Road
City	State/Province/Country	ZIP/Postal Code
Bala Cynwyd	PENNSYLVANIA	19004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA CONNECTICUT DELAWARE FLORIDA MARYLAND NEW JERSEY NEW YORK PENNSYLVANIA

Recipient	Recipient CRD Number None
Andrew D. Rubin	1009086
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Advisors, LLC	6627
Street Address 1	Street Address 2
40 Monumnet Road
City	State/Province/Country	ZIP/Postal Code
Bala Cynwyd	PENNSYLVANIA	19004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA CONNECTICUT DELAWARE FLORIDA ILLINOIS MASSACHUSETTS NEVADA NEW JERSEY NEW YORK PENNSYLVANIA

Recipient	Recipient CRD Number None
Anthony E. Vandervort	1744783
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Advisors, LLC	6627
Street Address 1	Street Address 2
40 Monument Road
City	State/Province/Country	ZIP/Postal Code
Bala Cynwyd	PENNSYLVANIA	19004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA NORTH CAROLINA PENNSYLVANIA

Recipient	Recipient CRD Number None
George W. Karr Jr.	264570
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Advisors, LLC	6627
Street Address 1	Street Address 2
40 Monument Road
City	State/Province/Country	ZIP/Postal Code
Bala Cynwyd	PENNSYLVANIA	19004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA DELAWARE ILLINOIS KANSAS MARYLAND MINNESOTA MONTANA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OREGON PENNSYLVANIA RHODE ISLAND VERMONT WASHINGTON

Recipient	Recipient CRD Number None
Curt Williams Burris	2751954
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group Securities, Inc.	29722
Street Address 1	Street Address 2
300 International Parkway	Ste. 270
City	State/Province/Country	ZIP/Postal Code
Heathrow	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA CONNECTICUT DELAWARE IDAHO ILLINOIS INDIANA KANSAS LOUISIANA MASSACHUSETTS MICHIGAN MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK OHIO OKLAHOMA SOUTH DAKOTA TENNESSEE TEXAS UTAH WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Michael D. Whitehurst	2609943
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Merrill Lynch, Pierce, Fenner & Smith	7691
Street Address 1	Street Address 2
200 Concord Plaza Drive
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
ALABAMA ARIZONA CALIFORNIA COLORADO CONNECTICUT FLORIDA GEORGIA ILLINOIS KANSAS KENTUCKY LOUISIANA MICHIGAN MINNESOTA NEW MEXICO NORTH CAROLINA NORTH DAKOTA SOUTH CAROLINA TENNESSEE TEXAS

Recipient	Recipient CRD Number None
Michael W. Kozemchak	2717038
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Linsco/Private Ledger	6413
Street Address 1	Street Address 2
9785 Towne Centre Drive
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92121
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA CONNECTICUT DELAWARE FLORIDA IDAHO ILLINOIS IOWA LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA NEBRASKA NEVADA NEW HAMPSHIRE NEW YORK NORTH CAROLINA PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS UTAH VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Fred Hill	3035352
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Executive Services Securities, LLC	25299
Street Address 1	Street Address 2
3445 Peachtree Road NE	Suite 200
City	State/Province/Country	ZIP/Postal Code
Atlanta	GEORGIA	30326
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA IOWA LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MISSOURI NEBRASKA NEW JERSEY NEW YORK NORTH CAROLINA OHIO OREGON PENNSYLVANIA RHODE ISLAND SOUTH DAKOTA TENNESSEE TEXAS VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Michael E. Nolan	1157483
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
LFA	3978
Street Address 1	Street Address 2
6720-B Rockledge Drive	Suite 140
City	State/Province/Country	ZIP/Postal Code
Bethesda	MARYLAND	20817
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALASKA CALIFORNIA CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS IOWA MARYLAND MASSACHUSETTS MINNESOTA MISSOURI NEBRASKA NEVADA NEW JERSEY OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Patricia S. Wenzel	2208651
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Merrill Lynch	7691
Street Address 1	Street Address 2
1221 McKinney Sreet
City	State/Province/Country	ZIP/Postal Code
Houston	TEXAS	77010
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS INDIANA IOWA KENTUCKY LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Diane Hart	3058773
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial	8174
Street Address 1	Street Address 2
251 South Lake Avenue	10th Floor
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 All States	Foreign/non-US
CALIFORNIA GEORGIA HAWAII ILLINOIS MASSACHUSETTS MINNESOTA NEVADA NEW HAMPSHIRE NEW JERSEY NEW YORK OREGON PENNSYLVANIA RHODE ISLAND TEXAS UTAH VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Luther Lockwood II	2082331
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M Holdings Securities	43285
Street Address 1	Street Address 2
10017 E. Morehead Street	Suite 100
City	State/Province/Country	ZIP/Postal Code
Charlotte	NORTH CAROLINA	28204
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALASKA CALIFORNIA CONNECTICUT DELAWARE FLORIDA GEORGIA ILLINOIS NORTH CAROLINA SOUTH CAROLINA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Paul Stephens	220491
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Linsco/Private Ledger	6413
Street Address 1	Street Address 2
9785 Towne Centre Drive
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92121
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA CONNECTICUT DELAWARE MASSACHUSETTS MICHIGAN MINNESOTA NEBRASKA NEW HAMPSHIRE NEW YORK NORTH CAROLINA PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS UTAH VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Roger Cammon	1055486
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M Holdings Securities	43285
Street Address 1	Street Address 2
Peabody Plaza 701 Market Street	Suite 1200
City	State/Province/Country	ZIP/Postal Code
St. Louis	MISSOURI	63101
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARKANSAS CALIFORNIA FLORIDA INDIANA KANSAS MINNESOTA MISSOURI MONTANA NEVADA NEW MEXICO NORTH CAROLINA OHIO OREGON TENNESSEE TEXAS VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Peter Quinn	4545901
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Wells Fargo Clearing Services	19616
Street Address 1	Street Address 2
1525 W.W.T. Harris Blvd.	1A1
City	State/Province/Country	ZIP/Postal Code
Charlotte	NORTH CAROLINA	28262
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALASKA ARIZONA CALIFORNIA COLORADO CONNECTICUT DELAWARE IDAHO IOWA KANSAS MAINE MASSACHUSETTS MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH DAKOTA TEXAS UTAH VERMONT VIRGINIA WASHINGTON WYOMING

Recipient	Recipient CRD Number None
George Chirayil	5951603
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Triad Advisors	25803
Street Address 1	Street Address 2
300 Madison Avenuye	Floor 28
City	State/Province/Country	ZIP/Postal Code
New York City	NEW YORK	10017
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA COLORADO DELAWARE NEW YORK NORTH DAKOTA TEXAS

Recipient	Recipient CRD Number None
Andrew L. Kuchera	6690625
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Triad Advisors	25803
Street Address 1	Street Address 2
300 Madison Avenue	Floor 28
City	State/Province/Country	ZIP/Postal Code
New York City	NEW YORK	10017
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA ARKANSAS COLORADO DELAWARE IOWA MARYLAND MICHIGAN NEW YORK NORTH DAKOTA OKLAHOMA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Suzette Clark	3153620
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Lockton Financial Advisors	137476
Street Address 1	Street Address 2
444 W. 47th Street	Suite 900
City	State/Province/Country	ZIP/Postal Code
Kansas City	MISSOURI	64112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA TENNESSEE TEXAS UTAH

Recipient	Recipient CRD Number None
Kenneth Depaola	6312756
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Valmark Securities, Inc.	31243
Street Address 1	Street Address 2
150 South Wacker Drive	Suite 2400
City	State/Province/Country	ZIP/Postal Code
Chicago	ILLINOIS	60606
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
COLORADO ILLINOIS INDIANA MINNESOTA WISCONSIN

Recipient	Recipient CRD Number None
Scott McGee	4768668
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group Securities	29722
Street Address 1	Street Address 2
300 Primera Blvd.	Suite 200
City	State/Province/Country	ZIP/Postal Code
Lake Mary	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE FLORIDA GEORGIA ILLINOIS INDIANA IOWA LOUISIANA MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI NEW JERSEY NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Gordon Thomas Chisholm	2938261
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Valmark Securities	31243
Street Address 1	Street Address 2
150 South Wacker Drive	Suite 2400
City	State/Province/Country	ZIP/Postal Code
Chicago	ILLINOIS	60606
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA COLORADO CONNECTICUT DELAWARE FLORIDA ILLINOIS KENTUCKY MASSACHUSETTS MICHIGAN MINNESOTA NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA TEXAS VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Jesse Amarillas	2755739
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial	8174
Street Address 1	Street Address 2
251 South Lake Avenue	10th Floor
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 All States	Foreign/non-US
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Lucia Fiumara	2844301
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial	8174
Street Address 1	Street Address 2
1 North Wacker Drive	32nd and 33rd Road
City	State/Province/Country	ZIP/Postal Code
Chicago	ILLINOIS	60606
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALASKA ARIZONA ARKANSAS CALIFORNIA DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS INDIANA KANSAS KENTUCKY MASSACHUSETTS MICHIGAN MINNESOTA NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA SOUTH CAROLINA TEXAS UTAH VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Earl C. Schwabe	2722383
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group Securities	29722
Street Address 1	Street Address 2
300 International Parkway	Ste. 270
City	State/Province/Country	ZIP/Postal Code
Heathrow	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO DELAWARE FLORIDA GEORGIA ILLINOIS KENTUCKY MICHIGAN MINNESOTA NEW JERSEY NORTH CAROLINA OHIO PENNSYLVANIA TEXAS UTAH WASHINGTON

Recipient	Recipient CRD Number None
Adriano James Pisarri	5686886
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Network	6627
Street Address 1	Street Address 2
4251 Crums Mill Road
City	State/Province/Country	ZIP/Postal Code
Harrisburg	PENNSYLVANIA	17112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA COLORADO CONNECTICUT DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS MARYLAND MASSACHUSETTS MINNESOTA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA PENNSYLVANIA TENNESSEE UTAH VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Howard Adcock	2861943
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Kestra	42046
Street Address 1	Street Address 2
311 N. Fletcher Avenue
City	State/Province/Country	ZIP/Postal Code
Tampa	FLORIDA	33612
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA CALIFORNIA COLORADO DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS IOWA KANSAS LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MISSOURI NEW JERSEY NEW YORK NORTH CAROLINA OHIO OREGON PENNSYLVANIA PUERTO RICO SOUTH CAROLINA TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Kevin Segal	3092034
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M Holdings	43285
Street Address 1	Street Address 2
1125 NW Couch Street	Ste. 900
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97209
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA COLORADO FLORIDA GEORGIA IDAHO ILLINOIS INDIANA KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NORTH CAROLINA NORTH DAKOTA OHIO OREGON PENNSYLVANIA VERMONT VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Mark McCullough	2553351
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M Holdings	43285
Street Address 1	Street Address 2
1125 NW Couch Street	Ste. 900
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97209
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FLORIDA KANSAS MISSOURI OKLAHOMA SOUTH DAKOTA

Recipient	Recipient CRD Number None
Russell McMillian	4359650
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M Holdidngs	43285
Street Address 1	Street Address 2
1125 NW Couch Street	Ste. 900
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97209
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
MISSOURI OREGON WASHINGTON

Recipient	Recipient CRD Number None
Kevin Edward Kelly	4585056
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group	29722
Street Address 1	Street Address 2
300 Primera Blvd.	Ste 200
City	State/Province/Country	ZIP/Postal Code
Lake Mary	FLORIDA	32746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA CONNECTICUT DELAWARE FLORIDA GEORGIA ILLINOIS IOWA MASSACHUSETTS MICHIGAN MINNESOTA NEW JERSEY NEW YORK NORTH CAROLINA PENNSYLVANIA TEXAS VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Alex Chivarsky	5108596
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UBS Financial	8174
Street Address 1	Street Address 2
1999Avenue of the Stars	Ste. 3600
City	State/Province/Country	ZIP/Postal Code
Los Angeles	CALIFORNIA	90067
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Brian Thomas Rodger	6937679
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Network	6627
Street Address 1	Street Address 2
4251 Crums Mill Road
City	State/Province/Country	ZIP/Postal Code
Harrisburg	PENNSYLVANIA	17112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
COLORADO CONNECTICUT GEORGIA MARYLAND MASSACHUSETTS MICHIGAN NEW JERSEY NEW YORK NORTH CAROLINA UTAH

Recipient	Recipient CRD Number None
Walker W. Shiflet	5527658
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Merrill Lynch	7691
Street Address 1	Street Address 2
4800 Deer Lake Drive
City	State/Province/Country	ZIP/Postal Code
E. Jacksonville	FLORIDA	32246
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA PUERTO RICO RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Thomas Mingone	1987602
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AXA Network	6627
Street Address 1	Street Address 2
4251 Crums Mill Road
City	State/Province/Country	ZIP/Postal Code
Harrisburg	PENNSYLVANIA	17112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS IOWA KANSAS MAINE MASSACHUSETTS MICHIGAN MISSOURI NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS UTAH VERMONT VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Christopher Hannan Nuyland	1613008
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Valmark Securities	31243
Street Address 1	Street Address 2
92 Hasell Street	Ste. 217
City	State/Province/Country	ZIP/Postal Code
Charleston	SOUTH CAROLINA	29401
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
DELAWARE DISTRICT OF COLUMBIA GEORGIA HAWAII MASSACHUSETTS MINNESOTA NEW JERSEY PENNSYLVANIA SOUTH CAROLINA TENNESSEE VIRGINIA

Recipient	Recipient CRD Number None
Andrew Lyon Hart	4253077
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
LPL Financial	6413
Street Address 1	Street Address 2
4707 Executive Drive
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92121
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA WASHINGTON

Recipient	Recipient CRD Number None
Kenneth Alan Kirk	735308
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Lion Street Financial	165828
Street Address 1	Street Address 2
800 Battery Avenue SE	Ste. 100
City	State/Province/Country	ZIP/Postal Code
Atlanta	GEORGIA	30339
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA FLORIDA GEORGIA ILLINOIS MINNESOTA MISSISSIPPI NEVADA NORTH CAROLINA OHIO TENNESSEE TEXAS UTAH VIRGINIA

Recipient	Recipient CRD Number None
Eric Robert Przybilla	3183554
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Newport Group Securities	29722
Street Address 1	Street Address 2
101 Centreport Drive	Ste. 250
City	State/Province/Country	ZIP/Postal Code
Greensboro	NORTH CAROLINA	27409
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA COLORADO DELAWARE ILLINOIS INDIANA IOWA KANSAS KENTUCKY MARYLAND MICHIGAN MINNESOTA OHIO OREGON TEXAS VIRGINIA WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Paul Gordon Walmsley	6862301
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Morgan Stanley	149777
Street Address 1	Street Address 2
9665 Wilshire Blvd	Ste. 600
City	State/Province/Country	ZIP/Postal Code
Beverly Hills	CALIFORNIA	90212
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA PUERTO RICO RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Shawn Anthony Besser	5907215
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
M. Holdings Securities	43285
Street Address 1	Street Address 2
3333 Michelson Drive	Ste. 820B
City	State/Province/Country	ZIP/Postal Code
Irvine	CALIFORNIA	92612
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Richard David Fritz, Jr.	2460475
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Northwestern Mutual Investments	2881
Street Address 1	Street Address 2
833 E. Michigan Street	Ste. 1480
City	State/Province/Country	ZIP/Postal Code
Milwaukee	WISCONSIN	53202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO FLORIDA ILLINOIS IOWA MICHIGAN MINNESOTA NEBRASKA OREGON PENNSYLVANIA UTAH WISCONSIN

Recipient	Recipient CRD Number None
Patrick Joseph Marget	4138813
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Northwestern Mutual Investments	2881
Street Address 1	Street Address 2
833 E. Michigan street	Ste. 1480
City	State/Province/Country	ZIP/Postal Code
Milwaukee	WISCONSIN	53202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO DELAWARE FLORIDA ILLINOIS IOWA MICHIGAN MINNESOTA MISSOURI NORTH DAKOTA OHIO PENNSYLVANIA SOUTH DAKOTA TENNESSEE UTAH WISCONSIN

Recipient	Recipient CRD Number None
Garrett Moore Blaha	6193865
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Northwestern Mutual Investments	2881
Street Address 1	Street Address 2
25125 detroit Road	Ste. 150
City	State/Province/Country	ZIP/Postal Code
Westlake	OHIO	44145
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA DISTRICT OF COLUMBIA GEORGIA INDIANA IOWA KENTUCKY MAINE MINNESOTA NEW YORK OHIO TENNESSEE

Recipient	Recipient CRD Number None
David Sears	5116777
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
UPS Financial Services	8174
Street Address 1	Street Address 2
100 Overlook Center	Ste. 100
City	State/Province/Country	ZIP/Postal Code
Princeton	NEW JERSEY	08540
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS INDIANA MAINE MARYLAND NEW HAMPSHIRE NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS VERMONT

Recipient	Recipient CRD Number None
Ryan Michael Stover	4892742
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
MMA Securities	44254
Street Address 1	Street Address 2
9171 Towne Centre Drive	Ste. 100
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92122
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

13. Offering and Sales Amounts

Total Offering Amount		USD	or X Indefinite
Total Amount Sold	$2,020,841,289	USD
Total Remaining to be Sold		USD	or X 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:

115

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	$67,543,370	USD	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):

As an issuer of the variable life insurance policies, The Lincoln National Life Ins. Co. will receive amounts from charges deducted under the policies, but no executive officer, director or promoter will receive any portion of the gross offering proceeds.

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
LINCOLN LIFE FLEXIBLE PREMIUM VARIABLE LIFE ACCOUNT Z	/s/Carolyn Augur	Carolyn Augur	Assistant Vice President	2022-12-28

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.