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Proc-Type: 2001,MIC-CLEAR
Originator-Name: webmaster@www.sec.gov
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<SEC-DOCUMENT>0001457919-09-000002.txt : 20090406
<SEC-HEADER>0001457919-09-000002.hdr.sgml : 20090406
<ACCEPTANCE-DATETIME>20090406125845
ACCESSION NUMBER:		0001457919-09-000002
CONFORMED SUBMISSION TYPE:	D/A
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		Rule 506
FILED AS OF DATE:		20090406
DATE AS OF CHANGE:		20090406
EFFECTIVENESS DATE:		20090406

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			RIDGEWOOD ENERGY A-1 FUND LLC
		CENTRAL INDEX KEY:			0001457919
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			DE

	FILING VALUES:
		FORM TYPE:		D/A
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-127501
		FILM NUMBER:		09734404

	BUSINESS ADDRESS:	
		STREET 1:		947 LINWOOD AVENUE
		CITY:			RIDGEWOOD
		STATE:			NJ
		ZIP:			07450
		BUSINESS PHONE:		201-447-9000

	MAIL ADDRESS:	
		STREET 1:		947 LINWOOD AVENUE
		CITY:			RIDGEWOOD
		STATE:			NJ
		ZIP:			07450
</SEC-HEADER>
<DOCUMENT>
<TYPE>D/A
<SEQUENCE>1
<FILENAME>primary_doc.xml
<TEXT>
<XML>
<?xml version="1.0"?>
<edgarSubmission>

    <schemaVersion>X0301</schemaVersion>

    <submissionType>D/A</submissionType>

    <testOrLive>LIVE</testOrLive>

    <primaryIssuer>
        <cik>0001457919</cik>
        <entityName>RIDGEWOOD ENERGY A-1 FUND LLC</entityName>
        <issuerAddress>
            <street1>947 LINWOOD AVENUE</street1>
            <street2></street2>
            <city>RIDGEWOOD</city>
            <stateOrCountry>NJ</stateOrCountry>
            <zipCode>07450</zipCode>
        </issuerAddress>
        <issuerPhoneNumber>201-447-9000</issuerPhoneNumber>
        <issuerPreviousNameList>
            <value>None</value>
        </issuerPreviousNameList>
        <jurisdictionOfInc>DE</jurisdictionOfInc>
        <entityType>Limited Liability Company</entityType>
        <yearOfInc>
            <withinFiveYears>true</withinFiveYears>
            <value>2009</value>
        </yearOfInc>
    </primaryIssuer>

    <relatedPersonsList>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Corporation</firstName>
                <middleName></middleName>
                <lastName>Ridgewood Energy</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Promoter</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Robert</firstName>
                <middleName>E.</middleName>
                <lastName>Swanson</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Robert</firstName>
                <middleName>L.</middleName>
                <lastName>Gold</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Kathleen</firstName>
                <middleName>H.</middleName>
                <lastName>McSherry</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Greg</firstName>
                <middleName></middleName>
                <lastName>Tabor</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Daniel</firstName>
                <middleName>V.</middleName>
                <lastName>Gulino</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Mirna</firstName>
                <middleName></middleName>
                <lastName>Valdes</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Matthew</firstName>
                <middleName></middleName>
                <lastName>Swanson</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Adrian</firstName>
                <middleName></middleName>
                <lastName>Doherty</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>947 Linwood Avenue</street1>
                <street2></street2>
                <city>Ridgewood</city>
                <stateOrCountry>NJ</stateOrCountry>
                <zipCode>07450</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>of Ridgewood Energy Corporation</relationshipClarification>
        </relatedPersonInfo>
    </relatedPersonsList>

    <offeringData>
        <industryGroup>
            <industryGroupType>Pooled Investment Fund</industryGroupType>
            <investmentFundInfo>
                <investmentFundType>Other Investment Fund</investmentFundType>
                <is40Act>false</is40Act>
            </investmentFundInfo>
        </industryGroup>
        <issuerSize>
            <aggregateNetAssetValueRange>Decline to Disclose</aggregateNetAssetValueRange>
        </issuerSize>
        <federalExemptionsExclusions>
            <item>06</item>
        </federalExemptionsExclusions>
        <typeOfFiling>
            <newOrAmendment>
                <isAmendment>true</isAmendment>
                <previousAccessionNumber>9999999997-09-005869</previousAccessionNumber>
            </newOrAmendment>
            <dateOfFirstSale>
                <value>2009-03-09</value>
            </dateOfFirstSale>
        </typeOfFiling>
        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
        </durationOfOffering>
        <typesOfSecuritiesOffered>
            <isPooledInvestmentFundType>true</isPooledInvestmentFundType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
            <clarificationOfResponse></clarificationOfResponse>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>50000</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>David Dyer</recipientName>
                <recipientCRDNumber>2179498</recipientCRDNumber>
                <associatedBDName>Alliance Affiliated Equities Corporation</associatedBDName>
                <associatedBDCRDNumber>23928</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>One Ward Parkway, Suite 345</street1>
                    <street2></street2>
                    <city>Kansas City</city>
                    <stateOrCountry>MO</stateOrCountry>
                    <zipCode>64112</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>MO</state>
                    <state>NY</state>
                    <state>SC</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Bette G. Tydings</recipientName>
                <recipientCRDNumber>844203</recipientCRDNumber>
                <associatedBDName>AFA Financial Group</associatedBDName>
                <associatedBDCRDNumber>127648</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>22471 Aspan Street, Suite 203</street1>
                    <street2></street2>
                    <city>Lake Forest</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92630</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>MA</state>
                    <state>NV</state>
                    <state>NY</state>
                    <state>OR</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Benjamin C. Bishop, Jr.</recipientName>
                <recipientCRDNumber>22050</recipientCRDNumber>
                <associatedBDName>Allen C. Ewing &amp; Company</associatedBDName>
                <associatedBDCRDNumber>26102</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>50 North Laura Street, Suite 3625</street1>
                    <street2></street2>
                    <city>Jacksonville</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <zipCode>32202</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>FL</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Jeffrey Rachlin</recipientName>
                <recipientCRDNumber>823547</recipientCRDNumber>
                <associatedBDName>Alternative Wealth Strategies, Inc.</associatedBDName>
                <associatedBDCRDNumber>130933</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>The Landmark at Eastview</street1>
                    <street2>777 Old Saw Mill River Road</street2>
                    <city>Tarrytown</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <zipCode>10591</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CT</state>
                    <state>FL</state>
                    <state>HI</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>NJ</state>
                    <state>NY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>George M. Bellish</recipientName>
                <recipientCRDNumber>2646202</recipientCRDNumber>
                <associatedBDName>American Portfolios Financial Services</associatedBDName>
                <associatedBDCRDNumber>18487</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Capital Business Strategies</street1>
                    <street2>8845 East Market Street, Suite 1</street2>
                    <city>Warren</city>
                    <stateOrCountry>OH</stateOrCountry>
                    <zipCode>44484</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>IN</state>
                    <state>MO</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>TX</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Peter B. Cohen</recipientName>
                <recipientCRDNumber>50112</recipientCRDNumber>
                <associatedBDName>Ameritas Investment Corp</associatedBDName>
                <associatedBDCRDNumber>14869</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>237 Hopmeadow Street, Suite 107</street1>
                    <street2></street2>
                    <city>Simsbury</city>
                    <stateOrCountry>CT</stateOrCountry>
                    <zipCode>06089</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CT</state>
                    <state>FL</state>
                    <state>MA</state>
                    <state>NY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Paul Lawless</recipientName>
                <recipientCRDNumber>1417030</recipientCRDNumber>
                <associatedBDName>Ameritas Investment Corp.</associatedBDName>
                <associatedBDCRDNumber>14869</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1877 S. Federal Investment Corp</street1>
                    <street2>Suite 210</street2>
                    <city>Boca Raton</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <zipCode>33432</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>DE</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>MD</state>
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                    <state>WA</state>
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            <recipient>
                <recipientName>Darcy R. Yocum</recipientName>
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                    <street1>1403 Farnam Street, Suite 216</street1>
                    <street2></street2>
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                    <stateOrCountry>NE</stateOrCountry>
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                    <state>CA</state>
                    <state>CO</state>
                    <state>IA</state>
                    <state>NE</state>
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            </recipient>
            <recipient>
                <recipientName>Katherine Kirkpatrick</recipientName>
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                <associatedBDName>American Independent Securities Group</associatedBDName>
                <associatedBDCRDNumber>135288</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Mountain View Fiancial Inc.</street1>
                    <street2>1036 E. Iron Eagle Drive # 130</street2>
                    <city>Eagle</city>
                    <stateOrCountry>ID</stateOrCountry>
                    <zipCode>83616</zipCode>
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                    <state>CA</state>
                    <state>CO</state>
                    <state>ID</state>
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                    <state>MO</state>
                    <state>OR</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Barbara Stone</recipientName>
                <recipientCRDNumber>2202550</recipientCRDNumber>
                <associatedBDName>American Independent Securities Group</associatedBDName>
                <associatedBDCRDNumber>135288</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>275 South 5th Avenue, Suite 285</street1>
                    <street2></street2>
                    <city>Pocatello</city>
                    <stateOrCountry>ID</stateOrCountry>
                    <zipCode>83201</zipCode>
                </recipientAddress>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>ID</state>
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                    <state>WA</state>
                    <state>WY</state>
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            </recipient>
            <recipient>
                <recipientName>Tressa Rockwood</recipientName>
                <recipientCRDNumber>4821421</recipientCRDNumber>
                <associatedBDName>American Independent Securities Group</associatedBDName>
                <associatedBDCRDNumber>135288</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>275 South 5th Avenue, Suite 285</street1>
                    <street2></street2>
                    <city>Pocatello</city>
                    <stateOrCountry>ID</stateOrCountry>
                    <zipCode>83201</zipCode>
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                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>ID</state>
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                    <state>OR</state>
                    <state>UT</state>
                    <state>WA</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Thomas L. Kunkel</recipientName>
                <recipientCRDNumber>2510614</recipientCRDNumber>
                <associatedBDName>Capital Financial Services Inc.</associatedBDName>
                <associatedBDCRDNumber>8408</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1109 W. MacArthur Avenue,</street1>
                    <street2>Suite # 3</street2>
                    <city>Eau Claire</city>
                    <stateOrCountry>WI</stateOrCountry>
                    <zipCode>54701</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>MI</state>
                    <state>MN</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Brian Weisenberger</recipientName>
                <recipientCRDNumber>4601637</recipientCRDNumber>
                <associatedBDName>Capital Solutions Distributors LLC</associatedBDName>
                <associatedBDCRDNumber>132315</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1250 Capital of Texas Hghway South</street1>
                    <street2>Building 2- Suite 600</street2>
                    <city>Austin</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>78746</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>FL</state>
                    <state>MA</state>
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                    <state>NJ</state>
                    <state>NY</state>
                    <state>TX</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>William Gammon</recipientName>
                <recipientCRDNumber>1811853</recipientCRDNumber>
                <associatedBDName>Centaurus Financial Inc.</associatedBDName>
                <associatedBDCRDNumber>30833</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1122 Kenilworth Drive, Suite 201</street1>
                    <street2></street2>
                    <city>Towson</city>
                    <stateOrCountry>MD</stateOrCountry>
                    <zipCode>21204</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AK</state>
                    <state>AR</state>
                    <state>CA</state>
                    <state>CT</state>
                    <state>DE</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>IN</state>
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                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>David B. White</recipientName>
                <recipientCRDNumber>1382131</recipientCRDNumber>
                <associatedBDName>Centaurus Financial Inc.</associatedBDName>
                <associatedBDCRDNumber>30833</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>40900 Woodward Avenue</street1>
                    <street2>Suite 270</street2>
                    <city>Bloomfield Hills</city>
                    <stateOrCountry>MI</stateOrCountry>
                    <zipCode>48304</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
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                    <state>NJ</state>
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                    <state>NC</state>
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                    <state>TX</state>
                    <state>VA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Alexander P. Brown</recipientName>
                <recipientCRDNumber>31944</recipientCRDNumber>
                <associatedBDName>Chapin Davis</associatedBDName>
                <associatedBDCRDNumber>28116</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1700 Pennsylvania Avenue, 7th Floor</street1>
                    <street2></street2>
                    <city>Washington</city>
                    <stateOrCountry>DC</stateOrCountry>
                    <zipCode>20006</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>CO</state>
                    <state>FL</state>
                    <state>MD</state>
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                    <state>NY</state>
                    <state>TX</state>
                    <state>VA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Crown Capital Securities, L.P.</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Crown Capital Securities, L.P.</associatedBDName>
                <associatedBDCRDNumber>6312</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>725 Town &amp; Country Rd.</street1>
                    <street2>Suite 530</street2>
                    <city>Orange</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92868</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>John Doane</recipientName>
                <recipientCRDNumber>4083486</recipientCRDNumber>
                <associatedBDName>Detwiler Fenton &amp; Co.</associatedBDName>
                <associatedBDCRDNumber>1794</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>401 Edgewater Place, Suite 120</street1>
                    <street2></street2>
                    <city>Wakefield</city>
                    <stateOrCountry>MA</stateOrCountry>
                    <zipCode>01880</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CT</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>ME</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>TX</state>
                    <state>VT</state>
                    <state>VA</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Jack Mara</recipientName>
                <recipientCRDNumber>1646745</recipientCRDNumber>
                <associatedBDName>Detwiler Fenton &amp; Co.</associatedBDName>
                <associatedBDCRDNumber>1794</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>401 Edgewater Place</street1>
                    <street2>Suite 120</street2>
                    <city>Wakefield</city>
                    <stateOrCountry>MA</stateOrCountry>
                    <zipCode>01880</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>DE</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>ME</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>SC</state>
                    <state>TX</state>
                    <state>VT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Kirk Dennis</recipientName>
                <recipientCRDNumber>1381273</recipientCRDNumber>
                <associatedBDName>Financial West Group</associatedBDName>
                <associatedBDCRDNumber>16668</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1834 Main Street</street1>
                    <street2></street2>
                    <city>Baker City</city>
                    <stateOrCountry>OR</stateOrCountry>
                    <zipCode>97814</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AK</state>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>NE</state>
                    <state>NY</state>
                    <state>OK</state>
                    <state>OR</state>
                    <state>TX</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Janet J. Montgomery</recipientName>
                <recipientCRDNumber>853307</recipientCRDNumber>
                <associatedBDName>First Allied Securities Inc.</associatedBDName>
                <associatedBDCRDNumber>32444</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>P.O Box 1115</street1>
                    <street2></street2>
                    <city>Brookshire</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>77423</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IN</state>
                    <state>KY</state>
                    <state>MI</state>
                    <state>MO</state>
                    <state>NY</state>
                    <state>OR</state>
                    <state>SC</state>
                    <state>TX</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Stephen Oliver</recipientName>
                <recipientCRDNumber>2173688</recipientCRDNumber>
                <associatedBDName>First Allied Securities Inc.</associatedBDName>
                <associatedBDCRDNumber>32444</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Manhattan Ridge Advisors</street1>
                    <street2>1325 Avenue of the Americas, 27th Floor</street2>
                    <city>New York</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <zipCode>10019</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>DE</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>IA</state>
                    <state>KS</state>
                    <state>KY</state>
                    <state>ME</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>MS</state>
                    <state>MO</state>
                    <state>NV</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>NM</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>OK</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>VT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WV</state>
                    <state>WI</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>FSC Securities Corporation</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>FSC Securities Corporation</associatedBDName>
                <associatedBDCRDNumber>7461</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2300 Windy Ridge Parkway</street1>
                    <street2>Suite 1100</street2>
                    <city>Atlanta</city>
                    <stateOrCountry>GA</stateOrCountry>
                    <zipCode>30339</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Geneos Wealth Management</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Geneos Wealth Management</associatedBDName>
                <associatedBDCRDNumber>120894</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>9055 E. Mineral Circle, Suite 200</street1>
                    <street2></street2>
                    <city>Centennial</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80112</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Stephanie Hrycyk</recipientName>
                <recipientCRDNumber>1882780</recipientCRDNumber>
                <associatedBDName>Gramercy Securities Inc,</associatedBDName>
                <associatedBDCRDNumber>8177</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3000 S.W. 27th Avenue</street1>
                    <street2></street2>
                    <city>Amarillo</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>79109</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>GA</state>
                    <state>MN</state>
                    <state>NM</state>
                    <state>OH</state>
                    <state>OK</state>
                    <state>TX</state>
                    <state>UT</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Gregory Long</recipientName>
                <recipientCRDNumber>2049933</recipientCRDNumber>
                <associatedBDName>Gunn Allen Financial</associatedBDName>
                <associatedBDCRDNumber>17609</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2295 S. Hiawassee Road #304</street1>
                    <street2></street2>
                    <city>Orlando</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <zipCode>32835</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>AK</state>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>HI</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>IA</state>
                    <state>KS</state>
                    <state>LA</state>
                    <state>ME</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>MS</state>
                    <state>MO</state>
                    <state>NV</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>NM</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>OK</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WI</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Jonathan Marcu</recipientName>
                <recipientCRDNumber>2401038</recipientCRDNumber>
                <associatedBDName>Gunn Allen Financial</associatedBDName>
                <associatedBDCRDNumber>17609</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>7280 W. Palmetto Park Rd.</street1>
                    <street2>Suite 106</street2>
                    <city>Boca Raton</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <zipCode>33433</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>MA</state>
                    <state>NE</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>PA</state>
                    <state>TX</state>
                    <state>VA</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Hantz Financial Services Inc.</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Hantz Financial Services, Inc.</associatedBDName>
                <associatedBDCRDNumber>46047</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>24901 Northwestern Highway</street1>
                    <street2>Suite 710</street2>
                    <city>Southfield</city>
                    <stateOrCountry>MI</stateOrCountry>
                    <zipCode>48075</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>IA</state>
                    <state>KS</state>
                    <state>KY</state>
                    <state>LA</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>MS</state>
                    <state>MO</state>
                    <state>MT</state>
                    <state>NV</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>SC</state>
                    <state>SD</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Sean Elerick</recipientName>
                <recipientCRDNumber>3107856</recipientCRDNumber>
                <associatedBDName>Huntington Investment Company</associatedBDName>
                <associatedBDCRDNumber>16986</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>154 West Main Street</street1>
                    <street2></street2>
                    <city>St. Cliarsville</city>
                    <stateOrCountry>OH</stateOrCountry>
                    <zipCode>43950</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>FL</state>
                    <state>KY</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>SC</state>
                    <state>WA</state>
                    <state>WV</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Alexander P. Kline</recipientName>
                <recipientCRDNumber>1271785</recipientCRDNumber>
                <associatedBDName>Huntington Investment Company</associatedBDName>
                <associatedBDCRDNumber>16986</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>650 Smithfield Street, Suite 1000</street1>
                    <street2></street2>
                    <city>Pittsburgh</city>
                    <stateOrCountry>PA</stateOrCountry>
                    <zipCode>15222</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IN</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>VA</state>
                    <state>WV</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>IMS Securities</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>IMS Securities</associatedBDName>
                <associatedBDCRDNumber>35567</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>10205 Westheimer Suite 500</street1>
                    <street2></street2>
                    <city>Houston</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>77042</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Joe H. Miller</recipientName>
                <recipientCRDNumber>1172989</recipientCRDNumber>
                <associatedBDName>Independent Financial Group</associatedBDName>
                <associatedBDCRDNumber>7717</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>12636 High Bluff Drive, Suite 100</street1>
                    <street2></street2>
                    <city>San Diego</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92130</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>AK</state>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>HI</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>KS</state>
                    <state>KY</state>
                    <state>LA</state>
                    <state>ME</state>
                    <state>MD</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>MS</state>
                    <state>MO</state>
                    <state>MT</state>
                    <state>NE</state>
                    <state>NV</state>
                    <state>NJ</state>
                    <state>NM</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>ND</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>SC</state>
                    <state>SD</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WV</state>
                    <state>WI</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Roger W. Bowlin</recipientName>
                <recipientCRDNumber>1905652</recipientCRDNumber>
                <associatedBDName>Independent Financial Group</associatedBDName>
                <associatedBDCRDNumber>7717</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>R.W. Bowlin Investment Solutions, Inc.</street1>
                    <street2>9816 234th Place, SW</street2>
                    <city>Edmonds</city>
                    <stateOrCountry>WA</stateOrCountry>
                    <zipCode>98020</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>ID</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Thomas J. Ealy</recipientName>
                <recipientCRDNumber>863042</recipientCRDNumber>
                <associatedBDName>Investment Planners, Inc.</associatedBDName>
                <associatedBDCRDNumber>18557</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1802 Fox Drive, Suite C</street1>
                    <street2></street2>
                    <city>Champaigne</city>
                    <stateOrCountry>IL</stateOrCountry>
                    <zipCode>61820</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>LA</state>
                    <state>MO</state>
                    <state>MT</state>
                    <state>NC</state>
                    <state>OR</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Nathan Rewerts</recipientName>
                <recipientCRDNumber>2913269</recipientCRDNumber>
                <associatedBDName>Investment Planners, Inc.</associatedBDName>
                <associatedBDCRDNumber>18557</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>5950 SW 28th, Suite A</street1>
                    <street2></street2>
                    <city>Topeka</city>
                    <stateOrCountry>KS</stateOrCountry>
                    <zipCode>66614</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CO</state>
                    <state>DC</state>
                    <state>KS</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>OK</state>
                    <state>TX</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Intersecurities, Inc.</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Intersecurities, Inc.</associatedBDName>
                <associatedBDCRDNumber>16164</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>570 Carillon Parkway</street1>
                    <street2></street2>
                    <city>St. Petersburg</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <zipCode>33716</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Tim J. Sherer</recipientName>
                <recipientCRDNumber>833618</recipientCRDNumber>
                <associatedBDName>J.P. Turner &amp; Co., LLC</associatedBDName>
                <associatedBDCRDNumber>43177</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>The Sherer Group, LLC</street1>
                    <street2>1754 Technology Drive, Suite 246</street2>
                    <city>San Jose</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>95110</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>CO</state>
                    <state>NY</state>
                    <state>OK</state>
                    <state>TX</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Carl Worden</recipientName>
                <recipientCRDNumber>3130121</recipientCRDNumber>
                <associatedBDName>J.P. Turner &amp; Co., LLC</associatedBDName>
                <associatedBDCRDNumber>43177</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>The Sherer Group, LLC</street1>
                    <street2>1754 Technology Drive, Suite 246</street2>
                    <city>San Jose</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>95110</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>OK</state>
                    <state>TX</state>
                    <state>VA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>MetLife Securities</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>MetLife Securities</associatedBDName>
                <associatedBDCRDNumber>14251</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>200 Park Avenue</street1>
                    <street2></street2>
                    <city>New York</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <zipCode>10166</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>LPL Financial Corporation</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>LPL Financial Corporation</associatedBDName>
                <associatedBDCRDNumber>6413</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>One Beacon Street</street1>
                    <street2></street2>
                    <city>Boston</city>
                    <stateOrCountry>MA</stateOrCountry>
                    <zipCode>02108</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>New England Securities</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>New England Securities</associatedBDName>
                <associatedBDCRDNumber>615</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>485 E. US Highway 1 South</street1>
                    <street2>Building E -4th Floor</street2>
                    <city>Iselin</city>
                    <stateOrCountry>NJ</stateOrCountry>
                    <zipCode>08830</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Sagepoint Financial</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Sagepoint Financial</associatedBDName>
                <associatedBDCRDNumber>133763</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2800 North Central Avenue</street1>
                    <street2>Suite 2100</street2>
                    <city>Phoenix</city>
                    <stateOrCountry>AZ</stateOrCountry>
                    <zipCode>85004</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Jay M. Eshbach II</recipientName>
                <recipientCRDNumber>1564093</recipientCRDNumber>
                <associatedBDName>JW Cole Financial Inc.</associatedBDName>
                <associatedBDCRDNumber>124583</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>P.O. Box 855</street1>
                    <street2></street2>
                    <city>Baytown</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>77522</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>CA</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>HI</state>
                    <state>IL</state>
                    <state>LA</state>
                    <state>MD</state>
                    <state>MO</state>
                    <state>NE</state>
                    <state>NC</state>
                    <state>SC</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WI</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Thomas L. McCormick</recipientName>
                <recipientCRDNumber>809554</recipientCRDNumber>
                <associatedBDName>American Investors Company</associatedBDName>
                <associatedBDCRDNumber>38</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>115 Crane Street</street1>
                    <street2></street2>
                    <city>Menlo Park</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>94025</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Chad Langhofer</recipientName>
                <recipientCRDNumber>2517445</recipientCRDNumber>
                <associatedBDName>Main Street Securities, LLC</associatedBDName>
                <associatedBDCRDNumber>47127</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Langhofer Financial Group</street1>
                    <street2>105 S. Andover Road, Suite B</street2>
                    <city>Andover</city>
                    <stateOrCountry>KS</stateOrCountry>
                    <zipCode>67002</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>AZ</state>
                    <state>CO</state>
                    <state>IN</state>
                    <state>KS</state>
                    <state>MO</state>
                    <state>NY</state>
                    <state>OK</state>
                    <state>TX</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Robert H. Trowbridge III</recipientName>
                <recipientCRDNumber>1027815</recipientCRDNumber>
                <associatedBDName>Main Street Securities, LLC</associatedBDName>
                <associatedBDCRDNumber>47127</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Dominion Wealth Mangement, Inc.</street1>
                    <street2>1801 Robert Fulton Drive, Suite 350</street2>
                    <city>Reston</city>
                    <stateOrCountry>VA</stateOrCountry>
                    <zipCode>20191</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>FL</state>
                    <state>MD</state>
                    <state>NV</state>
                    <state>NH</state>
                    <state>NC</state>
                    <state>TX</state>
                    <state>VA</state>
                    <state>WV</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Gary Flater</recipientName>
                <recipientCRDNumber>1049132</recipientCRDNumber>
                <associatedBDName>MCL FInancial Group Inc.</associatedBDName>
                <associatedBDCRDNumber>41180</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1551 N. Tusin Avenue, Suite 960</street1>
                    <street2></street2>
                    <city>Santa Ana</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92705</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Terrell Gertge</recipientName>
                <recipientCRDNumber>2956582</recipientCRDNumber>
                <associatedBDName>MCL Financial Group Inc.</associatedBDName>
                <associatedBDCRDNumber>41180</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>43442 W. Country Road # 43</street1>
                    <street2></street2>
                    <city>Ault</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80610</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>KS</state>
                    <state>NE</state>
                    <state>ND</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Gene Merle Walter</recipientName>
                <recipientCRDNumber>851987</recipientCRDNumber>
                <associatedBDName>MCL Financial Group Inc.</associatedBDName>
                <associatedBDCRDNumber>41180</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>12600 W. Colfax Avenue</street1>
                    <street2>Suite C-480</street2>
                    <city>Lakewood</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80215</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>LA</state>
                    <state>MN</state>
                    <state>MT</state>
                    <state>NE</state>
                    <state>NV</state>
                    <state>NM</state>
                    <state>OK</state>
                    <state>PA</state>
                    <state>SD</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Yi-Chen (Chris) Yang</recipientName>
                <recipientCRDNumber>4024717</recipientCRDNumber>
                <associatedBDName>MCL Financial Group Inc.</associatedBDName>
                <associatedBDCRDNumber>41180</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>12600 W. Colfax Avenue</street1>
                    <street2>Suite C-480</street2>
                    <city>Lakewood</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80215</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>CO</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Christopher J. Russo</recipientName>
                <recipientCRDNumber>2744913</recipientCRDNumber>
                <associatedBDName>National Securities Corporation</associatedBDName>
                <associatedBDCRDNumber>7569</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Worldwide Wealth Management</street1>
                    <street2>1400 Old Country Rd., Suite 302A</street2>
                    <city>Westbury</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <zipCode>11590</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>AZ</state>
                    <state>AR</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>KS</state>
                    <state>KY</state>
                    <state>LA</state>
                    <state>ME</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>MS</state>
                    <state>MO</state>
                    <state>NE</state>
                    <state>NV</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>ND</state>
                    <state>OH</state>
                    <state>OK</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>SC</state>
                    <state>SD</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WV</state>
                    <state>WI</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Next Financial Group</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Next Financial Group</associatedBDName>
                <associatedBDCRDNumber>46214</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2500 Wilcrest Drive, Suite 620</street1>
                    <street2></street2>
                    <city>Houston</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>77042</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Clint Blaser</recipientName>
                <recipientCRDNumber>2794696</recipientCRDNumber>
                <associatedBDName>National Planning Corp.</associatedBDName>
                <associatedBDCRDNumber>29604</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>6900 E. Camelback Road</street1>
                    <street2>Suite 606</street2>
                    <city>Scottsdale</city>
                    <stateOrCountry>AZ</stateOrCountry>
                    <zipCode>85251</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>MI</state>
                    <state>MO</state>
                    <state>NV</state>
                    <state>NY</state>
                    <state>ND</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Lawrence Harkavy</recipientName>
                <recipientCRDNumber>2218203</recipientCRDNumber>
                <associatedBDName>Oppenheimer &amp; Co.</associatedBDName>
                <associatedBDCRDNumber>249</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Fahnestock &amp; Company Inc.</street1>
                    <street2>700 Veterans Memorial HWY, Suite 120</street2>
                    <city>Hauppauge</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <zipCode>11788</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>TX</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Pacific West Securities</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Pacific West Securities</associatedBDName>
                <associatedBDCRDNumber>6390</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>555 S. Renton Village Place</street1>
                    <street2>Suite 700</street2>
                    <city>Renton</city>
                    <stateOrCountry>WA</stateOrCountry>
                    <zipCode>98055</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Roy C. Lines</recipientName>
                <recipientCRDNumber>1906516</recipientCRDNumber>
                <associatedBDName>ProEquities, Inc.</associatedBDName>
                <associatedBDCRDNumber>15708</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2355 John F. Kennedy Road</street1>
                    <street2></street2>
                    <city>Dubuque</city>
                    <stateOrCountry>IA</stateOrCountry>
                    <zipCode>52002</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>FL</state>
                    <state>IL</state>
                    <state>IA</state>
                    <state>MN</state>
                    <state>MO</state>
                    <state>NE</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>SD</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Clair Sauder</recipientName>
                <recipientCRDNumber>1312337</recipientCRDNumber>
                <associatedBDName>ProEquities, Inc.</associatedBDName>
                <associatedBDCRDNumber>15708</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2160 Lincoln HWY West</street1>
                    <street2></street2>
                    <city>Lancaster</city>
                    <stateOrCountry>PA</stateOrCountry>
                    <zipCode>17602</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CT</state>
                    <state>FL</state>
                    <state>IN</state>
                    <state>MD</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>VA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Thomas Shankland</recipientName>
                <recipientCRDNumber>1779390</recipientCRDNumber>
                <associatedBDName>ProEquities, Inc.</associatedBDName>
                <associatedBDCRDNumber>15708</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>24547 Park River Lane</street1>
                    <street2></street2>
                    <city>Shorewood</city>
                    <stateOrCountry>IL</stateOrCountry>
                    <zipCode>60404</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>MD</state>
                    <state>MS</state>
                    <state>MO</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Ryan C. White</recipientName>
                <recipientCRDNumber>2909144</recipientCRDNumber>
                <associatedBDName>ProEquities, Inc.</associatedBDName>
                <associatedBDCRDNumber>15708</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2974 Brooks Bend Drive</street1>
                    <street2></street2>
                    <city>Carmel</city>
                    <stateOrCountry>IN</stateOrCountry>
                    <zipCode>46032</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>FL</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>OH</state>
                    <state>VA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Questar Capital Corporation</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Questar Capital Corporation</associatedBDName>
                <associatedBDCRDNumber>43100</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>5701 Golden Hills Dr</street1>
                    <street2></street2>
                    <city>Minneapolis</city>
                    <stateOrCountry>MN</stateOrCountry>
                    <zipCode>55416</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Neil S. Fineman</recipientName>
                <recipientCRDNumber>2225170</recipientCRDNumber>
                <associatedBDName>Regal Securities</associatedBDName>
                <associatedBDCRDNumber>7297</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>11379 Notte Calma Street</street1>
                    <street2></street2>
                    <city>Las Vegas</city>
                    <stateOrCountry>NV</stateOrCountry>
                    <zipCode>89114</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MO</state>
                    <state>NV</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>OK</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Robert Swanson</recipientName>
                <recipientCRDNumber>1332429</recipientCRDNumber>
                <associatedBDName>Ridgewood Securities Corporation</associatedBDName>
                <associatedBDCRDNumber>15453</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>947 Linwood Avenue</street1>
                    <street2></street2>
                    <city>Ridgewood</city>
                    <stateOrCountry>NJ</stateOrCountry>
                    <zipCode>07450</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>AZ</state>
                    <state>AR</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>DE</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>IA</state>
                    <state>KS</state>
                    <state>KY</state>
                    <state>LA</state>
                    <state>ME</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>MS</state>
                    <state>MO</state>
                    <state>MT</state>
                    <state>NE</state>
                    <state>NV</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>NM</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>OK</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>SC</state>
                    <state>SD</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WI</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Royal Alliance &amp; Associates, Inc.</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>Royal Alliance &amp; Associates, Inc.</associatedBDName>
                <associatedBDCRDNumber>23131</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>One World Financial Center</street1>
                    <street2>14th Floor</street2>
                    <city>New York</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <zipCode>10281</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Christopher Hass</recipientName>
                <recipientCRDNumber>2657637</recipientCRDNumber>
                <associatedBDName>Sammons Securities Company</associatedBDName>
                <associatedBDCRDNumber>115368</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>11420 Bluegrass Pkwy</street1>
                    <street2></street2>
                    <city>Lousiville</city>
                    <stateOrCountry>KY</stateOrCountry>
                    <zipCode>40299</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>AZ</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>KY</state>
                    <state>MI</state>
                    <state>MS</state>
                    <state>OH</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>John L. Jenkins</recipientName>
                <recipientCRDNumber>1163851</recipientCRDNumber>
                <associatedBDName>Securities America, Inc.</associatedBDName>
                <associatedBDCRDNumber>10205</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3636 Nobel Drive #440</street1>
                    <street2></street2>
                    <city>San Diego</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92122</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>FL</state>
                    <state>ID</state>
                    <state>KS</state>
                    <state>OR</state>
                    <state>TX</state>
                    <state>VA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Janice Thompson</recipientName>
                <recipientCRDNumber>3034523</recipientCRDNumber>
                <associatedBDName>Securities America, Inc.</associatedBDName>
                <associatedBDCRDNumber>10205</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>7676 Hazard Center Drive,</street1>
                    <street2>Suite 1150</street2>
                    <city>San Diego</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92108</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>FL</state>
                    <state>ID</state>
                    <state>IN</state>
                    <state>MO</state>
                    <state>NJ</state>
                    <state>NM</state>
                    <state>NC</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Ken Wlosek</recipientName>
                <recipientCRDNumber>1271626</recipientCRDNumber>
                <associatedBDName>Seward Groves Richard &amp; Wells</associatedBDName>
                <associatedBDCRDNumber>17963</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>16 Sterling Lake Road</street1>
                    <street2></street2>
                    <city>Tuxedo Park</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <zipCode>10987</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>CO</state>
                    <state>FL</state>
                    <state>IL</state>
                    <state>MD</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>TX</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Thomas Kieffer</recipientName>
                <recipientCRDNumber>1531908</recipientCRDNumber>
                <associatedBDName>Sigma Financial Corporation</associatedBDName>
                <associatedBDCRDNumber>14303</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>P.O. Box 6987</street1>
                    <street2></street2>
                    <city>Lakeland</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <zipCode>33807</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>FL</state>
                    <state>IN</state>
                    <state>MD</state>
                    <state>MS</state>
                    <state>TN</state>
                    <state>VT</state>
                    <state>VA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Kevin McBarron</recipientName>
                <recipientCRDNumber>1282026</recipientCRDNumber>
                <associatedBDName>S.I.I. Investments</associatedBDName>
                <associatedBDCRDNumber>2225</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3091 E. 98th Street, Suite 180</street1>
                    <street2></street2>
                    <city>Indianapolis</city>
                    <stateOrCountry>IN</stateOrCountry>
                    <zipCode>46280</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>HI</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>IN</state>
                    <state>MD</state>
                    <state>MI</state>
                    <state>NV</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>SC</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WV</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Steven L. Nielsen</recipientName>
                <recipientCRDNumber>4184826</recipientCRDNumber>
                <associatedBDName>S.I.I. Investments</associatedBDName>
                <associatedBDCRDNumber>2225</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2444 E. Southern Avenue #106</street1>
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                    <city>Mesa</city>
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                    <state>WI</state>
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            <recipient>
                <recipientName>Joel Johnson</recipientName>
                <recipientCRDNumber>1941908</recipientCRDNumber>
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                <associatedBDCRDNumber>46947</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>100 Great Meadows Road</street1>
                    <street2>Suite 502</street2>
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                <recipientName>Charles Shafe</recipientName>
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                    <street1>C/O Shafe Group Inc.</street1>
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                    <state>MI</state>
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                    <state>NC</state>
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                    <state>SC</state>
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                    <state>TX</state>
                    <state>VA</state>
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            <recipient>
                <recipientName>Martin Chiu</recipientName>
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                <recipientAddress>
                    <street1>10535 Chestnut Street</street1>
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                    <state>OK</state>
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                    <state>VA</state>
                    <state>WA</state>
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            <recipient>
                <recipientName>Aaron P. Sevigny</recipientName>
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                <recipientAddress>
                    <street1>24850 Burnt Pine Drive, Suite 4-5</street1>
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                    <city>Bonita Springs</city>
                    <stateOrCountry>FL</stateOrCountry>
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                    <state>DE</state>
                    <state>FL</state>
                    <state>IL</state>
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                    <state>KY</state>
                    <state>ME</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>VA</state>
                    <state>WI</state>
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            <recipient>
                <recipientName>Kirk A. Walters</recipientName>
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                <associatedBDName>United Planners Financial Services</associatedBDName>
                <associatedBDCRDNumber>20804</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1604 Church Street</street1>
                    <street2></street2>
                    <city>Layton</city>
                    <stateOrCountry>UT</stateOrCountry>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>ID</state>
                    <state>MT</state>
                    <state>NV</state>
                    <state>UT</state>
                    <state>WA</state>
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            </recipient>
            <recipient>
                <recipientName>David C. McKnight</recipientName>
                <recipientCRDNumber>3026936</recipientCRDNumber>
                <associatedBDName>Valmark Securities Inc.</associatedBDName>
                <associatedBDCRDNumber>31243</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>W67 N222 Evergreen Blvd.</street1>
                    <street2>Suite 202</street2>
                    <city>Cedarburg</city>
                    <stateOrCountry>WI</stateOrCountry>
                    <zipCode>53012</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
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                    <state>TX</state>
                    <state>UT</state>
                    <state>WI</state>
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            </recipient>
            <recipient>
                <recipientName>Barney Guttman</recipientName>
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                <associatedBDName>Walnut Street Securities</associatedBDName>
                <associatedBDCRDNumber>15840</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1022 Frick Building,</street1>
                    <street2>437 Grant Street</street2>
                    <city>Pittsburgh</city>
                    <stateOrCountry>PA</stateOrCountry>
                    <zipCode>15219</zipCode>
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                    <state>CA</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>IL</state>
                    <state>LA</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>NJ</state>
                    <state>NM</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>PA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Robert A. Pierce</recipientName>
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                <associatedBDName>Walnut Street Securities</associatedBDName>
                <associatedBDCRDNumber>15840</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Winning Money Strategies</street1>
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                    <city>Vancouver</city>
                    <stateOrCountry>WA</stateOrCountry>
                    <zipCode>98687</zipCode>
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                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Waterstone Financial Group</recipientName>
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                <associatedBDCRDNumber>10078</associatedBDCRDNumber>
                <recipientAddress>
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            <recipient>
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                <recipientName>Cesar Garcia</recipientName>
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            <recipient>
                <recipientName>William V. Harris</recipientName>
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                <recipientAddress>
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                    <state>NV</state>
                    <state>OK</state>
                    <state>TX</state>
                    <state>VA</state>
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            </recipient>
            <recipient>
                <recipientName>Leslie V. Anderton</recipientName>
                <recipientCRDNumber>873403</recipientCRDNumber>
                <associatedBDName>Wilson Davis &amp; Company</associatedBDName>
                <associatedBDCRDNumber>3777</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>4866 Viewmont Street</street1>
                    <street2></street2>
                    <city>Holladay</city>
                    <stateOrCountry>UT</stateOrCountry>
                    <zipCode>84117</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>FL</state>
                    <state>ID</state>
                    <state>KS</state>
                    <state>KY</state>
                    <state>MD</state>
                    <state>MA</state>
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                    <state>OR</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>WA</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>James Lockhart</recipientName>
                <recipientCRDNumber>4415115</recipientCRDNumber>
                <associatedBDName>Woodbury Financial Services Inc.</associatedBDName>
                <associatedBDCRDNumber>421</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>29 Plantation Park Drive,</street1>
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                    <city>Bluffton</city>
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                    <zipCode>29910</zipCode>
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                    <state>NY</state>
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                    <state>PA</state>
                    <state>SC</state>
                </statesOfSolicitationList>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>50000000</totalOfferingAmount>
            <totalAmountSold>2954000</totalAmountSold>
            <totalRemaining>47046000</totalRemaining>
            <clarificationOfResponse>May be increased to $80,000,000 or more.</clarificationOfResponse>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
            <totalNumberAlreadyInvested>13</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>16000</dollarAmount>
            </salesCommissions>
            <findersFees>
                <dollarAmount>0</dollarAmount>
            </findersFees>
            <clarificationOfResponse>Additional sales commission to be paid upon future sales</clarificationOfResponse>
        </salesCommissionsFindersFees>
        <useOfProceeds>
            <grossProceedsUsed>
                <dollarAmount>0</dollarAmount>
            </grossProceedsUsed>
            <clarificationOfResponse></clarificationOfResponse>
        </useOfProceeds>
        <signatureBlock>
            <authorizedRepresentative>false</authorizedRepresentative>
            <signature>
                <issuerName>RIDGEWOOD ENERGY A-1 FUND LLC</issuerName>
                <signatureName>Mirna Valdes</signatureName>
                <nameOfSigner>Mirna Valdes</nameOfSigner>
                <signatureTitle>Vice President of the Manager</signatureTitle>
                <signatureDate>2009-04-06</signatureDate>
            </signature>
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</edgarSubmission>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
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