MCI Preferred Income Fund IV D/A $500M in equity, sold $139.9M, 1643 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

0001774415

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

Name of Issuer

MCI Preferred Income Fund IV, LLC

Jurisdiction of Incorporation/Organization

DELAWARE

Year of Incorporation/Organization

	Over Five Years Ago
X	Within Last Five Years (Specify Year)	2019
	Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
MCI Preferred Income Fund IV, 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	888-418-3730

3. Related Persons

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
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
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 Common 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 X 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	2019-08-27	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	X 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
200 Vesey Street	24th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10281
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
Westpark Wealth Advisors, Inc.	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 MARYLAND MASSACHUSETTS MICHIGAN MISSISSIPPI MISSOURI NEBRASKA NEW JERSEY NEW MEXICO 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
Benchmark Investments, Inc.	103792
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
175 Country Club Drive	Bldg 400, Suite D
City	State/Province/Country	ZIP/Postal Code
Stockbridge	GEORGIA	30281
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
2 International Plaza	Suite 301
City	State/Province/Country	ZIP/Postal Code
Nashville	TENNESSEE	37217
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
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
The Galleria, Suite 241	2 Bridge Avenue
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
ALABAMA ALASKA ARIZONA ARKANSAS CALIFORNIA COLORADO CONNECTICUT DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA HAWAII IDAHO ILLINOIS INDIANA IOWA KANSAS KENTUCKY LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MONTANA NEBRASKA NEVADA NEW HAMPSHIRE NEW JERSEY 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
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
1138 Cadillac Court
City	State/Province/Country	ZIP/Postal Code
Milpitas	CALIFORNIA	95035
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA CONNECTICUT FLORIDA GEORGIA HAWAII IDAHO MAINE MARYLAND MASSACHUSETTS MICHIGAN MISSOURI NEVADA NEW JERSEY NEW YORK NORTH CAROLINA OREGON PENNSYLVANIA SOUTH CAROLINA TEXAS VIRGINIA WASHINGTON

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 America	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 GEORGIA MARYLAND NEW JERSEY NEW YORK PENNSYLVANIA TEXAS

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
885 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
TEXAS WASHINGTON

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 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
Purshe Kaplan Sterling Investments	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 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
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
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
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.	Suite 1000
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
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 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 WISCONSIN WYOMING

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 Road	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

Recipient	Recipient CRD Number None
Vienna Asset Management, LLC	299725
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
20370 Town Center Lane	Suite 122
City	State/Province/Country	ZIP/Postal Code
Cupertino	CALIFORNIA	95014
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
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
120 Vantis Drive	Suite 585
City	State/Province/Country	ZIP/Postal Code
Aliso Viejo	CALIFORNIA	92656
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
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 NEVADA NEW MEXICO OREGON TEXAS UTAH WYOMING

Recipient	Recipient CRD Number None
LFS RIA, LLC	153391
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
PO BOX 25067
City	State/Province/Country	ZIP/Postal Code
Dallas	TEXAS	75225
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
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
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
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
Atlanta	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
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 Shaw Ave	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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
KCD Financial, Inc.	127472
(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
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 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 SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Alexander Capital, LP	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
Arkadios Capital	282710
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
309 East Paces Ferry Road	Suite 10000
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 X All States	Foreign/non-US

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 Road	Suite A
City	State/Province/Country	ZIP/Postal Code
Melville	NEW YORK	11747
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Crown Capital Securities, L.P	6312
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
725 Town Country Toad	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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
RelyOn Financial Advisors	269934
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1314 W. mcdermott Drive	Suites 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
Plan Group Financial, Inc.	116508
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
6 NE 63rd Street	Suite 240
City	State/Province/Country	ZIP/Postal Code
Oklahoma City	OKLAHOMA	73105
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
OKLAHOMA TEXAS

Recipient	Recipient CRD Number None
Great Nation Investment Coporation	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 Building 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 NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Barndollar Investments Advisory Services Incoporated	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
Newbridge Securities Corporation	288898
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
10920 Via Frontera	Suite 520
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 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 SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
Aegis Capital Corporation	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 and 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
Investment Fiduciary Planners, LLC	287842
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
720 S. Colorado BLVD Penthouse North
City	State/Province/Country	ZIP/Postal Code
Denver	COLORADO	88246
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
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
Chalice Capital Partners	288898
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
10920 VIA Frontera	Suite 520
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 MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

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
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
Alliance Global Partners	8361
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
88 Post Road West	2nd Floor
City	State/Province/Country	ZIP/Postal Code
Westport	CONNECTICUT	06880
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

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
1477 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 X All States	Foreign/non-US

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	Suite 729
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
O'Connell Investments and Insurance Services, LLC	290254
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1075 Washington Street	Suite 200
City	State/Province/Country	ZIP/Postal Code
Eugene	OREGON	97401
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARKANSAS CALIFORNIA IDAHO NORTH CAROLINA OREGON TEXAS WASHINGTON

Recipient	Recipient CRD Number None
Money Script Wealth Management, PLLC	286134
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
610 Upton Blvd
City	State/Province/Country	ZIP/Postal Code
Cedar Hill	TEXAS	75104
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA NEVADA NEW YORK TEXAS

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 JERSEY NEW YORK NORTH CAROLINA PENNSYLVANIA TENNESSEE TEXAS VIRGINIA

Recipient	Recipient CRD Number None
TRS Advisors	283248
(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	Suite 3
City	State/Province/Country	ZIP/Postal Code
Fort Worth	TEXAS	76166
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
TEXAS

Recipient	Recipient CRD Number None
Western International Securities	39262
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
70 S. Lake Avenue	Suite 700
City	State/Province/Country	ZIP/Postal Code
Pasadena	CALIFORNIA	91101
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Veripax Wealth Management, Inc.	95630
(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
Flosom	CALIFORNIA	95630
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
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
2201 Regency Rd.	Suite 703
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

Recipient	Recipient CRD Number None
WE Alliance Wealth Advisors, Inc.	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.	Suite 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 TEXAS

Recipient	Recipient CRD Number None
Acorn Financial Advisory Services, Inc.	116763
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1875 Campus Commons Drive	Suite 100
City	State/Province/Country	ZIP/Postal Code
Reston	VIRGINIA	20191
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA COLORADO CONNECTICUT DISTRICT OF COLUMBIA FLORIDA GEORGIA LOUISIANA MAINE MARYLAND MASSACHUSETTS MICHIGAN NEBRASKA NEW JERSEY NEW YORK NORTH CAROLINA OHIO OREGON PENNSYLVANIA SOUTH CAROLINA TEXAS VIRGINIA WASHINGTON WEST VIRGINIA

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
100 Pacifica	Suite 360
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
ALABAMA ARIZONA CALIFORNIA COLORADO FLORIDA HAWAII IDAHO ILLINOIS MARYLAND NEVADA NEW JERSEY NEW YORK OREGON TEXAS UTAH WASHINGTON

Recipient	Recipient CRD Number None
Saxony Securities, 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	63119
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
Independence Capital Co., Inc.	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 Road	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 ILLINOIS INDIANA KANSAS KENTUCKY MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI NEVADA NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA TENNESSEE TEXAS UTAH 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
4080 Camberley Street
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 SOUTH DAKOTA TENNESSEE TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Abound Wealth Strategies, LLC	305362
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
901 Wesleyan Road	Suite 420
City	State/Province/Country	ZIP/Postal Code
Indianapolis	INDIANA	76268
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
INDIANA

Recipient	Recipient CRD Number None
Hill Country Group	307376
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2 Spencer Road	Suite 102
City	State/Province/Country	ZIP/Postal Code
Boerne	TEXAS	78006
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
Parsons Capital Management, LLC	114494
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1 South Sugan Road
City	State/Province/Country	ZIP/Postal Code
New Hope	PENNSYLVANIA	18938
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA COLORADO CONNECTICUT FLORIDA ILLINOIS NEW HAMPSHIRE NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Kingswood 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
11440 W. Bernardo Court	Suite 300
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 MAINE MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA MISSISSIPPI MISSOURI MONTANA NEBRASKA 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
Purepath Wealth Management	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
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 PUERTO RICO RHODE ISLAND SOUTH CAROLINA SOUTH DAKOTA TENNESSEE TEXAS UTAH VERMONT VIRGINIA WASHINGTON WEST VIRGINIA WISCONSIN WYOMING

Recipient	Recipient CRD Number None
International Assets Investment Management, LLC	144426
(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	X Foreign/non-US

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
3789 Attucks Drive
City	State/Province/Country	ZIP/Postal Code
Powell	OHIO	43065
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 FLORIDA GEORGIA HAWAII ILLINOIS INDIANA IOWA KENTUCKY LOUISIANA MARYLAND MASSACHUSETTS MICHIGAN NEVADA NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA SOUTH CAROLINA TENNESSEE TEXAS VIRGINIA WEST VIRGINIA

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
ARIZONA CALIFORNIA COLORADO DELAWARE DISTRICT OF COLUMBIA FLORIDA GEORGIA ILLINOIS INDIANA MARYLAND MASSACHUSETTS NEVADA NEW HAMPSHIRE NEW JERSEY NEW YORK NORTH CAROLINA OHIO PENNSYLVANIA RHODE ISLAND SOUTH CAROLINA TEXAS VIRGINIA

Recipient	Recipient CRD Number None
Insight Financial	286467
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7307 SW Beveland Road	Suite 200
City	State/Province/Country	ZIP/Postal Code
Tigard	OREGON	97223
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
OREGON WASHINGTON

Recipient	Recipient CRD Number None
Client First Capital, LLC	300684
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4075 Park Blvd	Suite 102-400
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92103
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CALIFORNIA NEW YORK TEXAS

Recipient	Recipient CRD Number None
Lyke Financial	154199
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4017 Whipple Avenue, N.W.
City	State/Province/Country	ZIP/Postal Code
Canton	OHIO	44718
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
OHIO

Recipient	Recipient CRD Number None
Pivotal Advisors LLC	310612
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
530 7th Avenue
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10018
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
First Financial Equity Corporation	16507
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7373 N. Scottsdale Road	Suite D120
City	State/Province/Country	ZIP/Postal Code
Scottsdale	ARIZONA	85253
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
Calton & Associates, Inc.	20999
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2701 N. Rocky Point Drive	Suite 1000
City	State/Province/Country	ZIP/Postal Code
Tampa	FLORIDA	33607
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Nova Capital Solutions	174636
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1600 SE 15th Street #305
City	State/Province/Country	ZIP/Postal Code
Fort Lauderdale	FLORIDA	33316
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA FLORIDA MISSOURI NEW YORK NORTH CAROLINA TEXAS

Recipient	Recipient CRD Number None
Engel Capital LLC	312646
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
182 New Egypt Road
City	State/Province/Country	ZIP/Postal Code
Lakewood	NEW JERSEY	08701
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
Berone Capital LLC	316412
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
530 Delphinium Way
City	State/Province/Country	ZIP/Postal Code
Acworth	GEORGIA	30102
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
GEORGIA NORTH CAROLINA TEXAS

Recipient	Recipient CRD Number None
Alpha Financial Partners LLC	306639
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
710 E Main Street	Suite 110
City	State/Province/Country	ZIP/Postal Code
Lexington	KENTUCKY	40502
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
KENTUCKY TENNESSEE TEXAS

Recipient	Recipient CRD Number None
Capital Securities LLC	174167
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
42 Broadway	Suite 12-129
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
ARIZONA CALIFORNIA CONNECTICUT FLORIDA ILLINOIS NEW JERSEY NEW YORK VIRGINIA

Recipient	Recipient CRD Number None
Holbrook Global Strategies	127059
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
635 Bryant Street
City	State/Province/Country	ZIP/Postal Code
Palo Alto	CALIFORNIA	94301
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
Elevation Wealth Management, LLC	314604
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
15593 Michele Ln
City	State/Province/Country	ZIP/Postal Code
Eden Prairie	MINNESOTA	55346
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
MINNESOTA

Recipient	Recipient CRD Number None
Nobles & Richards, Inc.	146870
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
801 East Plano Parkway	Suite 220
City	State/Province/Country	ZIP/Postal Code
Plano	TEXAS	75074
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
Vann Equity Management LLC	174239
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4975 Preston Park Blvd	#490
City	State/Province/Country	ZIP/Postal Code
Plano	TEXAS	75093
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
ShareNett Securities LLC	151011
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
12 East 49th Street	Suite 7-120
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10017
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
Alternative Wealth (dba Atomi Financial Group)	171787
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
20 Executive Park	Suite 120
City	State/Province/Country	ZIP/Postal Code
Irvine	CALIFORNIA	92614
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
Ausdal Financial Partners	7995
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5187 Utica Ridge Rd
City	State/Province/Country	ZIP/Postal Code
Davenport	IOWA	52807
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Accretive Wealth Management	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	94583
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
D.H. Hill Securities, LLLP	41528
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1543 Green Oak Place	Suite 100
City	State/Province/Country	ZIP/Postal Code
Kingwood	TEXAS	77339
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
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
Frontier Wealth Strategies L.P.	165932
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1990 North Carolina Boulevard	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
Ultra Financial Partners	315239
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
14350 N. Frank Lloyd Wright Blvd	Suite 9
City	State/Province/Country	ZIP/Postal Code
Scottsdale	ARIZONA	85260
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARIZONA CALIFORNIA

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 Blvd
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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Belpointe Wealth Management	143440
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
500 Damonte Ranch Pkwy, Building 700	Unit 700
City	State/Province/Country	ZIP/Postal Code
Reno	NEVADA	89521
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
Portsmith - SmartLike Financial Group, LLC	168299
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
6190 Powers Ferry Road	Suite 505
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 X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Barnes Wealth Management Group Inc.	132189
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5060 California Avenue	Suite 600
City	State/Province/Country	ZIP/Postal Code
Bakersfield	CALIFORNIA	93309
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
TRS Advisors, LLC	283248
(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	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
TEXAS

Recipient	Recipient CRD Number None
Main Street Financial Solutions, LLC	305834
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
503 E Washington Avenue
City	State/Province/Country	ZIP/Postal Code
Newton	PENNSYLVANIA	18940
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
Bowen Wealth LLC	315212
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
497 Bramson Court	Suite 102
City	State/Province/Country	ZIP/Postal Code
Mount Pleasant	SOUTH CAROLINA	29464
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
Bison Investment Advisors, LLC	149775
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
9595 Six Pines Drive	Suite 8210
City	State/Province/Country	ZIP/Postal Code
The Woodlands	TEXAS	77380
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
LOUISIANA TEXAS

13. Offering and Sales Amounts

Total Offering Amount	$500,000,000	USD	or Indefinite
Total Amount Sold	$139,896,323	USD
Total Remaining to be Sold	$360,103,677	USD	or Indefinite

Clarification of Response (if Necessary):

Information as of September 30, 2022.

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:

1,643

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	$50,000,000	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.

$10,000,000 USD X Estimate

Clarification of Response (if Necessary):

Assuming Maximum Offering Amount raised. Consists of 2% of gross offering proceeds for organization and offering expenses, as such fees are further defined in the Filer's confidential private placement memorandum.

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 IV, LLC	Armin Afzalipour	Armin Afzalipour	Co-President of Filer's Manager	2022-10-04

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.