MCI Preferred Income Fund II D/A $200M in equity, sold $189.77M, 1952 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

0001713236

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

Name of Issuer

MCI Preferred Income Fund II, LLC

Jurisdiction of Incorporation/Organization

DELAWARE

Year of Incorporation/Organization

	Over Five Years Ago
X	Within Last Five Years (Specify Year)	2017
	Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
MCI Preferred Income Fund II, LLC
Street Address 1		Street Address 2
2101 Cedar Springs Road		Suite 700
City	State/Province/Country	ZIP/PostalCode	Phone Number of Issuer
Dallas	TEXAS	75201	8884183730

3. Related Persons

Last Name	First Name	Middle Name
Afzalipour	Arash
Street Address 1	Street Address 2
2101 Cedar Springs Road	Suite 700
City	State/Province/Country	ZIP/PostalCode
Dallas	TEXAS	75201

Relationship: X Executive Officer X Director X Promoter

Clarification of Response (if Necessary):

Co-President of the Filer's Manager

Last Name	First Name	Middle Name
Afzalipour	Armin
Street Address 1	Street Address 2
2101 Cedar Springs Road	Suite 700
City	State/Province/Country	ZIP/PostalCode
Dallas	TEXAS	75201

Relationship: X Executive Officer X Director X Promoter

Clarification of Response (if Necessary):

Co-President of the Filer's Manager

Last Name	First Name	Middle Name
LLC	MCI Holdings,
Street Address 1	Street Address 2
2101 Cedar Springs Road	Suite 700
City	State/Province/Country	ZIP/PostalCode
Dallas	TEXAS	75201

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Sole Member of the Filer

Last Name	First Name	Middle Name
LLC	Megatel Capital Investment,
Street Address 1	Street Address 2
2101 Cedar Springs Road	SUITE 700
City	State/Province/Country	ZIP/PostalCode
Dallas	TEXAS	75201

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Sole Manager of the Filer

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 X Other Real Estate

Retailing Restaurants Technology Computers Telecommunications Other Technology Travel Airlines & Airports Lodging & Conventions Tourism & Travel Services Other Travel Other

5. Issuer Size

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

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

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

Investment Company Act Section 3(c)

Section 3(c)(1) Section 3(c)(9)  

Section 3(c)(2) Section 3(c)(10)

Section 3(c)(3) Section 3(c)(11)

Section 3(c)(4) Section 3(c)(12)

Section 3(c)(5) Section 3(c)(13)

Section 3(c)(6) Section 3(c)(14)

Section 3(c)(7)

7. Type of Filing

	New Notice	Date of First Sale	2017-10-31	First Sale Yet to Occur
X	Amendment

8. Duration of Offering

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

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

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

10. Business Combination Transaction

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

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $25,000 USD

12. Sales Compensation

Recipient	Recipient CRD Number None
International Assets Advisory, LLC	10645
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
390 North Orange Avenue	Suite 750
City	State/Province/Country	ZIP/Postal Code
Orlando	FLORIDA	32801
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
PHX Financial, Inc.	144403
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
100 Wall Street	Floor 10
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10005
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Center Street Securities, Inc.	26898
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2740 Old Elm Hill Pike	Suite 201
City	State/Province/Country	ZIP/Postal Code
Nashville	TENNESSEE	37214
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Emerson Equity, LLC	130032
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
155 Bovet Road	Suite 725
City	State/Province/Country	ZIP/Postal Code
San Mateo	CALIFORNIA	94402
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
KCD Financial, Inc.	127473
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
3061 Allied Street	Suite B
City	State/Province/Country	ZIP/Postal Code
Green Bay	WISCONSIN	54304
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 DISTRICT OF COLUMBIA FLORIDA GEORGIA IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA 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 VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Coastal Equities, Inc.	23769
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1201 N. Orange Street
City	State/Province/Country	ZIP/Postal Code
Wilmington	DELAWARE	19801
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Dempsey Lord Smith, LLC	141238
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
901 N. Broad Street	Suite 400
City	State/Province/Country	ZIP/Postal Code
Rome	GEORGIA	30161
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 IDAHO ILLINOIS INDIANA KANSAS KENTUCKY LOUISIANA 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 SOUTH CAROLINA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Ausdal Financial Partners, Inc.	7995
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5187 Utica Ridge Road
City	State/Province/Country	ZIP/Postal Code
Davenport	IOWA	52807
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Cabot Lodge Securities LLC	159712
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
60 Broad Street	Suite 3402
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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Cape Securities Inc.	7072
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1600 Pennslyvania Avenue
City	State/Province/Country	ZIP/Postal Code
McDonough	GEORGIA	30253
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Great Point Capital LLC	114203
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
200 West Jackson Blvd
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 FLORIDA GEORGIA ILLINOIS IOWA MICHIGAN NEVADA NEW JERSEY NEW YORK OHIO TEXAS VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
J.K. Financial Services, Inc.	103728
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
149 Cross Rail Lane	Suite 102
City	State/Province/Country	ZIP/Postal Code
Norco	CALIFORNIA	92860
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA GEORGIA

Recipient	Recipient CRD Number None
Newbridge Securities Corporation	104065
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5200 Town Center Circle	Tower 1, Suite 306
City	State/Province/Country	ZIP/Postal Code
Boca Raton	FLORIDA	33486
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
NI Advisors	134502
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
638 Webster Street	Suite 410
City	State/Province/Country	ZIP/Postal Code
Oaklan	CALIFORNIA	94607
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA FLORIDA MAINE MARYLAND MASSACHUSETTS MICHIGAN NEVADA NEW JERSEY NEW YORK OREGON PENNSYLVANIA

Recipient	Recipient CRD Number None
RelyOn Financial Advisors, LLC	269934
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
Suite 106-827
City	State/Province/Country	ZIP/Postal Code
Allen	TEXAS	75013
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
Taylor Capital Management, Inc.	43559
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2230 Town Lake Pkwy	BLDG 800-Suite 130
City	State/Province/Country	ZIP/Postal Code
Woodstock	GEORGIA	30189
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ALASKA ARIZONA CALIFORNIA GEORGIA ILLINOIS INDIANA MONTANA NEW JERSEY NEW YORK OREGON SOUTH DAKOTA

Recipient	Recipient CRD Number None
Whitehall Parker Securities, Inc.	10608
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
477 Pacific Avenue	2nd Floor
City	State/Province/Country	ZIP/Postal Code
San Francisco	CALIFORNIA	94133
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO IDAHO NEVADA NEW YORK OREGON TEXAS WASHINGTON

Recipient	Recipient CRD Number None
Dakota Securities International, Inc.	132700
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7428 S.W. 1189 Street
City	State/Province/Country	ZIP/Postal Code
Miami	FLORIDA	33157
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
COLORADO FLORIDA GEORGIA MARYLAND VIRGINIA WEST VIRGINIA

Recipient	Recipient CRD Number None
Network 1 Financial Securities, Inc.	13577
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2 Bridge Avenue	Suite 241
City	State/Province/Country	ZIP/Postal Code
Red Bank	NEW JERSEY	07701
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CONNECTICUT FLORIDA GEORGIA NEW JERSEY NEW YORK NORTH CAROLINA OREGON PENNSYLVANIA TEXAS

Recipient	Recipient CRD Number None
Capital City Securities, LLC	146001
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1335 Dublin Road	Suite 122-D
City	State/Province/Country	ZIP/Postal Code
Columbus	OHIO	43215
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO FLORIDA HAWAII ILLINOIS INDIANA IOWA KENTUCKY MASSACHUSETTS MICHIGAN NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA SOUTH CAROLINA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Heritage Financial Systems, Inc.	133019
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5 Great Valley Parkway	Suite 334
City	State/Province/Country	ZIP/Postal Code
Malvern	PENNSYLVANIA	19355
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
COLORADO DELAWARE FLORIDA MARYLAND MASSACHUSETTS MISSOURI NEBRASKA NEW JERSEY NEW YORK PENNSYLVANIA TEXAS VIRGINIA WASHINGTON

Recipient	Recipient CRD Number None
Bain Wealth Management Group, LLC	281066
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
855 Lancaster Drive SE	Suite C
City	State/Province/Country	ZIP/Postal Code
Salem	OREGON	97317
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
OREGON

Recipient	Recipient CRD Number None
Intercarolina Financial Services, Inc.	19475
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
3300 Battleground Avenue	Suite 400
City	State/Province/Country	ZIP/Postal Code
Greensboro	NORTH CAROLINA	27410
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA CALIFORNIA FLORIDA GEORGIA ILLINOIS IOWA KENTUCKY MARYLAND MASSACHUSETTS MINNESOTA NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA SOUTH CAROLINA TENNESSEE TEXAS VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Investment Security Corporation	47536
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
24009 Ventura Blvd	Suite 101
City	State/Province/Country	ZIP/Postal Code
Calabasas	CALIFORNIA	91302
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA FLORIDA ILLINOIS MASSACHUSETTS MISSISSIPPI OREGON TEXAS UTAH WYOMING

Recipient	Recipient CRD Number None
The Strategic Financial Alliance	126514
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2200 Century Parkway	Suite 500
City	State/Province/Country	ZIP/Postal Code
Altanta	GEORGIA	30345
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Capital Financial Services, Inc.	8408
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1821 Burndick Expressway W
City	State/Province/Country	ZIP/Postal Code
Minot	NORTH DAKOTA	58701
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NORTH DAKOTA OKLAHOMA

Recipient	Recipient CRD Number None
Claraphi Advisory Network, LLC	165868
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
25401 Cabot Road	Suite 214
City	State/Province/Country	ZIP/Postal Code
Laguna Hills	CALIFORNIA	92653
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA FLORIDA GEORGIA HAWAII NEBRASKA NEW JERSEY NEW YORK OHIO OKLAHOMA OREGON PENNSYLVANIA TEXAS VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Kingsbury Capital, Inc.	7638
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1560 Sherman Avenue	Suite 510
City	State/Province/Country	ZIP/Postal Code
Evanston	ILLINOIS	60201
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO DISTRICT OF COLUMBIA FLORIDA ILLINOIS NEW YORK OHIO TEXAS WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Western International Securities, Inc.	39262
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
70 South Lake Avenue	Suite 700
City	State/Province/Country	ZIP/Postal Code
Pasedena	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 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
Accelerated Capital Group, Inc.	41270
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
151 Kalmus Drive	Suite E-250
City	State/Province/Country	ZIP/Postal Code
Costa Mesa	CALIFORNIA	92626
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA ARKANSAS CALIFORNIA COLORADO FLORIDA GEORGIA INDIANA KANSAS KENTUCKY MASSACHUSETTS MICHIGAN MINNESOTA NEVADA NEW JERSEY NEW MEXICO NEW YORK OREGON SOUTH CAROLINA TEXAS UTAH WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Aegis Capital Corp.	15007
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
810 7th Avenue	18th & 22nd Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10019
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Alexander Capital, L.P.	40077
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
17 State Street	5th Floor
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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Coppell Advisory Solutions, LLC	156549
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
870 South Denton Tap Road	Unit 250
City	State/Province/Country	ZIP/Postal Code
Coppell	TEXAS	75019
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 ILLINOIS INDIANA IOWA KANSAS LOUISIANA MAINE MASSACHUSETTS MICHIGAN MISSISSIPPI MISSOURI NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
New Frontier Financial Advisory, LLC	147055
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
8400 E. Crescent Pkwy	Suite 600
City	State/Province/Country	ZIP/Postal Code
Greenwood Village	COLORADO	80111
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
COLORADO

Recipient	Recipient CRD Number None
Strategic Advisors, Inc.	126045
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1950 North Park Place	Suite 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
GEORGIA

Recipient	Recipient CRD Number None
Purshe Kaplan Sterling Investments, Inc.	35747
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
18 Corporate Woods Blvd
City	State/Province/Country	ZIP/Postal Code
Albany	NEW YORK	12211
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Grand Parkway Capital, LLC	149775
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
22322 Grand Corner Drive	Suite 150
City	State/Province/Country	ZIP/Postal Code
Katy	TEXAS	77494
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
Great Nation Investment Corporation	19981
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5408 Bell, Bldg A	Suite 100
City	State/Province/Country	ZIP/Postal Code
Amarillo	TEXAS	79109
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 IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA PUERTO RICO SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Capital Markets IQ, LLC	134921
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
427 N. Tatnall	Suite 52811
City	State/Province/Country	ZIP/Postal Code
Wilmington	DELAWARE	19801
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA ARKANSAS CALIFORNIA COLORADO DELAWARE FLORIDA GEORGIA ILLINOIS LOUISIANA MASSACHUSETTS MICHIGAN MISSOURI NEBRASKA NEW YORK NORTH CAROLINA PENNSYLVANIA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Joseph Stone Capital, L.L.C.	159744
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
200 Old Country Road	Suite 610
City	State/Province/Country	ZIP/Postal Code
Mineola	NEW YORK	11501
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Momentum Advisors, LLC	159574
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1120 Avenue of the Americas	4th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10036
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA DISTRICT OF COLUMBIA MARYLAND NEW JERSEY NEW YORK NORTH CAROLINA

Recipient	Recipient CRD Number None
BSG&L Financial Services, LLC	125802
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1900 West Loop South	Suite 1150
City	State/Province/Country	ZIP/Postal Code
Houston	TEXAS	77027
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
GVC Capital, LLC	38923
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5350 So. Roslyn Street	Suite 400
City	State/Province/Country	ZIP/Postal Code
Greenwood Village	COLORADO	80111
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSOURI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Arkadios Capital LLC	282710
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
3333 Piedmont Road NE	Suite 2010
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
ALABAMA ARIZONA CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA IDAHO ILLINOIS INDIANA KANSAS KENTUCKY LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OREGON PENNSYLVANIA PUERTO RICO SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Accretive Wealth Management, LLC	164341
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
12657 Alcosta Boulevard	Suite 150
City	State/Province/Country	ZIP/Postal Code
San Ramon	CALIFORNIA	94582
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA

Recipient	Recipient CRD Number None
American Global Wealth Management, Inc.	7388
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1600 Pennsylvania Avenue
City	State/Province/Country	ZIP/Postal Code
McDonugh	GEORGIA	30253
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 DISTRICT OF COLUMBIA FLORIDA GEORGIA INDIANA IOWA KANSAS KENTUCKY LOUISIANA MICHIGAN MINNESOTA MISSISSIPPI MISSOURI NEBRASKA NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TENNESSEE TEXAS VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Wealth Management of Kentucky, Inc.	171446
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
870 Corporate Drive	Suite 401
City	State/Province/Country	ZIP/Postal Code
Lexington	KENTUCKY	40503
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
KENTUCKY TEXAS

Recipient	Recipient CRD Number None
Womack Investment Advisors, Inc.	118081
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1366 E. 15th Street
City	State/Province/Country	ZIP/Postal Code
Edmond	OKLAHOMA	73013
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA ILLINOIS INDIANA OKLAHOMA TEXAS

Recipient	Recipient CRD Number None
Veripax Wealth Management, LLC	139663
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
101 Parkshore Drive	Suite 100
City	State/Province/Country	ZIP/Postal Code
Folsom	CALIFORNIA	955630
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA

Recipient	Recipient CRD Number None
Revere Securities, LLC	14178
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
650 Fifth Avenue	35th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10019
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 NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Fox Wealth Advisors, LLC	142012
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2129 North Josey Lane
City	State/Province/Country	ZIP/Postal Code
Carrolton	TEXAS	75006
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
WE Alliance Wealth Advisors	175405
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
3001 Douglas Blvd	Ste. 142
City	State/Province/Country	ZIP/Postal Code
Roseville	CALIFORNIA	95661
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA

Recipient	Recipient CRD Number None
Van Der Noord Financial Advisors, Inc.	135556
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
420 The Parkway, Suite G2	The Village at Thornblade
City	State/Province/Country	ZIP/Postal Code
Greer	SOUTH CAROLINA	29650
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
GEORGIA SOUTH CAROLINA TEXAS

Recipient	Recipient CRD Number None
Westpark Wealth Advisors	130914
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
West 8 Tower 10205 Westheimer	Suite 500
City	State/Province/Country	ZIP/Postal Code
Houston	TEXAS	77042
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO FLORIDA GEORGIA HAWAII IDAHO INDIANA IOWA KANSAS LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MISSISSIPPI MISSOURI NEBRASKA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA SOUTH DAKOTA TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Dedora Capital, Inc.	177523
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1600 Main Street
City	State/Province/Country	ZIP/Postal Code
Napa	CALIFORNIA	94959
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA COLORADO KANSAS LOUISIANA OREGON TEXAS

Recipient	Recipient CRD Number None
SCF Securities, Inc.	47275
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
155 E. Shaw Avenue	Suite #102
City	State/Province/Country	ZIP/Postal Code
Fresno	CALIFORNIA	93710
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
Frontier Financial Partners, LLC	136465
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
320 Main Street	Suite 220
City	State/Province/Country	ZIP/Postal Code
Franklin	TENNESSEE	37064
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FLORIDA KENTUCKY TENNESSEE TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Stephen A. Kohn & Associates, Ltd	41067
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7114 W. Jefferson Avenue	Suite 305
City	State/Province/Country	ZIP/Postal Code
Lakewood	COLORADO	80235
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 DISTRICT OF COLUMBIA FLORIDA GEORGIA IDAHO ILLINOIS INDIANA IOWA KANSAS LOUISIANA MASSACHUSETTS MICHIGAN MINNESOTA MISSOURI MONTANA NEBRASKA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OREGON SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH WASHINGTON WYOMING

Recipient	Recipient CRD Number None
Vestech Securities, Inc.	41409
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
11477 Olde Cabin Road	Suite 310
City	State/Province/Country	ZIP/Postal Code
St. Louis	MISSOURI	63141
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 KENTUCKY LOUISIANA MASSACHUSETTS MICHIGAN MINNESOTA MISSOURI NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Jim Poe & Associates, Inc.	140232
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
6040 Camp Bowie Blvd	Suite 3
City	State/Province/Country	ZIP/Postal Code
Fort Worth	TEXAS	76116
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
GEORGIA LOUISIANA MINNESOTA TEXAS

Recipient	Recipient CRD Number None
Advanced Strategies Agency Inc.	121343
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
362 N. Main Street
City	State/Province/Country	ZIP/Postal Code
Huron	OHIO	44839
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FLORIDA OHIO

Recipient	Recipient CRD Number None
Primex	29394
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
54 West 21st Street	12th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10010
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
Aeon Capital, Inc.	164004
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1715 Highway 35	Suite 103
City	State/Province/Country	ZIP/Postal Code
Middleton	NEW JERSEY	07748
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 KANSAS LOUISIANA MARYLAND MASSACHUSETTS NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OREGON TEXAS WISCONSIN

Recipient	Recipient CRD Number None
Independence Capital Co	24723
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5579 Pearl Street	Suite 100
City	State/Province/Country	ZIP/Postal Code
Parma	OHIO	44129
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA CALIFORNIA CONNECTICUT DELAWARE FLORIDA GEORGIA INDIANA KANSAS KENTUCKY MAINE MARYLAND MICHIGAN MINNESOTA MISSISSIPPI NEVADA NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN

Recipient	Recipient CRD Number None
Sanders Morris Harris, LLC	20580
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
600 Travis	Suite 5900
City	State/Province/Country	ZIP/Postal Code
Houston	TEXAS	77002
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Naylor & Company Investments, LLC	124924
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
735 Minor Road
City	State/Province/Country	ZIP/Postal Code
Orinda	CALIFORNIA	74563
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA INDIANA

Recipient	Recipient CRD Number None
JRL Capital Corporation	10225
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
20371 Irvine Avenue	Suite A-140
City	State/Province/Country	ZIP/Postal Code
Newport Beach	CALIFORNIA	92660
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA CALIFORNIA COLORADO FLORIDA HAWAII IDAHO ILLINOIS MARYLAND NEVADA NEW JERSEY NEW YORK OREGON TEXAS UTAH WASHINGTON

Recipient	Recipient CRD Number None
DH Hill Securities, LLLP	41528
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1543 Green Oaks Place	Suite 100
City	State/Province/Country	ZIP/Postal Code
Kingwood	TEXAS	77339
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ALABAMA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA 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 VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Fourstar Wealth Advisors, LLC	169613
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
351 W. Hubbard	Suite 420
City	State/Province/Country	ZIP/Postal Code
Chicago	ILLINOIS	60654
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FLORIDA ILLINOIS NEW HAMPSHIRE

Recipient	Recipient CRD Number None
Saxony Securitites, Inc.	115547
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7401 Watson Road	Suite 86
City	State/Province/Country	ZIP/Postal Code
St. Louis	MISSOURI	631199
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
Chalice Capital Partners, LLC	288898
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
16935 West Bernardo Drive	Suite 140
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92127
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 MARYLAND MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Asset Preservation Group Inc.	108150
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2750 William D. Tate Ave.	Suite 100
City	State/Province/Country	ZIP/Postal Code
Grapevine	TEXAS	76051
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
WestPark Capital, Inc.	39914
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1900 Avenue of the Stars	Suite 310
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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Lucia Securities, LLC	37179
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
13520 Evening Creek Drive North	Suite 300
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92128
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
Arete Wealth Management, LLC	44856
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1101 W. Lake Street	1st Floor
City	State/Province/Country	ZIP/Postal Code
Chicago	ILLINOIS	60607
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
SWBC Investment Services, LLC	113715
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
9311 San Pedro	Ste 600
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 ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI NEBRASKA NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
David A Noyes & Company	205
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
209 South La Salle Street	Ste. 1200
City	State/Province/Country	ZIP/Postal Code
Chicago	ILLINOIS	60604
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
Crown Capital Securities, L.P.	6312
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
725 Town & Country Road	Suite 530
City	State/Province/Country	ZIP/Postal Code
Orange	CALIFORNIA	92868
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
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
Legacy Wealth Management, LLC	174767
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
13965 W. Chinden Bvld.	Suite 100
City	State/Province/Country	ZIP/Postal Code
Boise	IDAHO	83713
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO FLORIDA IDAHO ILLINOIS MICHIGAN OREGON TEXAS UTAH WASHINGTON

Recipient	Recipient CRD Number None
SW Financial	145012
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1295 Walt Whitman Rd	Suite A
City	State/Province/Country	ZIP/Postal Code
Melville	NEW YORK	11747
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Altus Wealth Group, LLC	287848
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
24 S. Weber St.	Suite 205
City	State/Province/Country	ZIP/Postal Code
Colorado Springs	COLORADO	80903
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 MARYLAND MICHIGAN MISSOURI MONTANA NEVADA NEW MEXICO NORTH CAROLINA RHODE ISLAND TEXAS VIRGINIA WASHINGTON WYOMING

Recipient	Recipient CRD Number None
Personal Wealth Management, LLC	285074
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5291 Huron Hills Drive
City	State/Province/Country	ZIP/Postal Code
Commerce	MICHIGAN	48382
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
MICHIGAN

Recipient	Recipient CRD Number None
Frontier Wealth Strategies Inc.	165932
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1900 North Carolina Blvd	8th Floor
City	State/Province/Country	ZIP/Postal Code
Walnut Creek	CALIFORNIA	94596
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA

Recipient	Recipient CRD Number None
Titus Financial, Inc.	150098
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
8430 SW 22nd Avenue
City	State/Province/Country	ZIP/Postal Code
Portland	OREGON	97219
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
OREGON

Recipient	Recipient CRD Number None
Vanderbilt Securities, LLC	5953
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
125 Froehlich Farm Blvd
City	State/Province/Country	ZIP/Postal Code
Woodbury	NEW YORK	11797
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 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
Orthniel Financial Advisory Services, LLC	285376
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
11200 Fuqua Street	Suite 100
City	State/Province/Country	ZIP/Postal Code
Houston	TEXAS	77089
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
Lifemark Securities Corp.	16204
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
400 West Metro Park
City	State/Province/Country	ZIP/Postal Code
Rochester	NEW YORK	14623
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
Crosspoint Financial, LLC	286443
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
17822 East 17th Street	Suite 310
City	State/Province/Country	ZIP/Postal Code
Tustin	CALIFORNIA	92780
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA TEXAS

Recipient	Recipient CRD Number None
The Hughes Group Wealth Management Partners, LLC	291397
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
11824 Jollyville Road	Suite 500
City	State/Province/Country	ZIP/Postal Code
Austin	TEXAS	78759
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
Harbor Light Investment Advisors, LLC	154599
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
3115 Lithia Pinecrest Road
City	State/Province/Country	ZIP/Postal Code
Valrico	FLORIDA	33596
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FLORIDA GEORGIA NORTH CAROLINA OHIO PENNSYLVANIA PUERTO RICO SOUTH CAROLINA TEXAS

Recipient	Recipient CRD Number None
Investment Planners, Inc.	18557
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
226 W. Eldorado Street
City	State/Province/Country	ZIP/Postal Code
Decatur	ILLINOIS	62522
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
Koshinski Asset Management, Inc.	111872
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
226 W. Eldorado Street	Suite 101
City	State/Province/Country	ZIP/Postal Code
Decatur	ILLINOIS	62522
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
Lyles Wealth Management, LLC	29973
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
105 Laurel Creek Road	Suite 113
City	State/Province/Country	ZIP/Postal Code
Calhoun	GEORGIA	30701
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
GEORGIA

Recipient	Recipient CRD Number None
Arive Capital Markets	8060
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
8808 5th Avenue
City	State/Province/Country	ZIP/Postal Code
Brooklyn	NEW YORK	11209
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Green Vista Capital, LLC	293630
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
222 N. Park Avenue
City	State/Province/Country	ZIP/Postal Code
Winter Park	FLORIDA	32789
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 KANSAS KENTUCKY LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MISSOURI NEVADA NEW HAMPSHIRE NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA TENNESSEE TEXAS VERMONT VIRGINIA WASHINGTON WISCONSIN

Recipient	Recipient CRD Number None
Matrix Private Wealth Solutions, Inc.	167536
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7700 Irvine Center Drive	Suite 800
City	State/Province/Country	ZIP/Postal Code
Irvine	CALIFORNIA	92618
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA

Recipient	Recipient CRD Number None
Barndollar Investment Advisory Services Incorporated	168247
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2719 Letap Court	Suite 101
City	State/Province/Country	ZIP/Postal Code
Land O' Lakes	FLORIDA	34638
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
World Equity Group, Inc.	29087
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1650 N. Arlington Heights Road	Suite 100
City	State/Province/Country	ZIP/Postal Code
Arlington Heights	ILLINOIS	60004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Willow Grove Advisors, LLC	151993
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2040 Bancroft Way
City	State/Province/Country	ZIP/Postal Code
Berkeley	CALIFORNIA	94704
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA MASSACHUSETTS

Recipient	Recipient CRD Number None
T Dibernardo Consulting Inc.	291634
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
150 Broadhollow Rd.	Suite 209
City	State/Province/Country	ZIP/Postal Code
Melville	NEW YORK	11747
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK

13. Offering and Sales Amounts

Total Offering Amount	$200,000,000	USD	or Indefinite
Total Amount Sold	$189,767,181	USD
Total Remaining to be Sold	$10,232,819	USD	or Indefinite

Clarification of Response (if Necessary):

Amount sold as of 06/14/2020

14. Investors

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

Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:

1,952

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	$20,000,000	USD	X Estimate
Finders' Fees	$0	USD	Estimate

Clarification of Response (if Necessary):

Assuming Maximum Offering Amount Raised. Includes Selling Commissions of 7%; Managing Broker-Dealer Fee of 2.5% (which may be re-allowed, in part, to certain members of the Selling Group); and up to 0.5% as a Servicing Fee to the Managing Broker-Dealer.

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.

$4,000,000 USD X Estimate

Clarification of Response (if Necessary):

If maximum offering amount is raised. Consists of 2% of gross offering proceeds for organization and offering expenses.

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
MCI Preferred Income Fund II, LLC	Armin	Armin Afzalipour	Co-President of Filer's Manager	2020-06-15

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.