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<SEC-DOCUMENT>0001466589-10-000001.txt : 20100122
<SEC-HEADER>0001466589-10-000001.hdr.sgml : 20100122
<ACCEPTANCE-DATETIME>20100122121517
ACCESSION NUMBER:		0001466589-10-000001
CONFORMED SUBMISSION TYPE:	D/A
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		Rule 506
ITEM INFORMATION:		Investment Company Act Section 3(c)
ITEM INFORMATION:		Section 3(c)(1)
ITEM INFORMATION:		Section 3(c)(5)
FILED AS OF DATE:		20100122
DATE AS OF CHANGE:		20100122
EFFECTIVENESS DATE:		20100122

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Thompson/Morgan Baton Rouge I, DST
		CENTRAL INDEX KEY:			0001466589
		IRS NUMBER:				806077325
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		D/A
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-132145
		FILM NUMBER:		10540864

	BUSINESS ADDRESS:	
		STREET 1:		1900 MAIN STREET
		STREET 2:		SUITE 700
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92614
		BUSINESS PHONE:		949-833-8252

	MAIL ADDRESS:	
		STREET 1:		1900 MAIN STREET
		STREET 2:		SUITE 700
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92614
</SEC-HEADER>
<DOCUMENT>
<TYPE>D/A
<SEQUENCE>1
<FILENAME>primary_doc.xml
<TEXT>
<XML>
<?xml version="1.0"?>
<edgarSubmission>

    <schemaVersion>X0603</schemaVersion>

    <submissionType>D/A</submissionType>

    <testOrLive>LIVE</testOrLive>

    <primaryIssuer>
        <cik>0001466589</cik>
        <entityName>Thompson/Morgan Baton Rouge I, DST</entityName>
        <issuerAddress>
            <street1>1900 MAIN STREET</street1>
            <street2>SUITE 700</street2>
            <city>IRVINE</city>
            <stateOrCountry>CA</stateOrCountry>
            <zipCode>92614</zipCode>
        </issuerAddress>
        <issuerPhoneNumber>949-833-8252</issuerPhoneNumber>
        <jurisdictionOfInc>DELAWARE</jurisdictionOfInc>
        <issuerPreviousNameList>
            <value>None</value>
        </issuerPreviousNameList>
        <edgarPreviousNameList>
            <value>None</value>
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        <entityType>Business Trust</entityType>
        <yearOfInc>
            <withinFiveYears>true</withinFiveYears>
            <value>2008</value>
        </yearOfInc>
    </primaryIssuer>

    <relatedPersonsList>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Anthony</firstName>
                <middleName>W.</middleName>
                <lastName>Thompson</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1900 Main Street</street1>
                <street2>Suite 700</street2>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <zipCode>92614</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Managing Member and CEO of Sponsor - Thompson National Properties, LLC</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Jack</firstName>
                <middleName>R.</middleName>
                <lastName>Maurer</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1900 Main Street</street1>
                <street2>Suite 700</street2>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <zipCode>92614</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Vice Chairman and Partner of Sponsor - Thompson National Properties, LLC</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Greg</firstName>
                <lastName>Genovese</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1900 Main Street</street1>
                <street2>Suite 700</street2>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <zipCode>92614</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>President, Securities Division of Sponsor - Thompson National Properties, LLC</relationshipClarification>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Johanna</firstName>
                <lastName>Howard</lastName>
            </relatedPersonName>
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                <street1>1900 Main Street</street1>
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                <zipCode>92614</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
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            <relationshipClarification>Chief Financial Officer of Sponsor - Thompson National Properties, LLC</relationshipClarification>
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        <relatedPersonInfo>
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                <firstName>Darryll</firstName>
                <lastName>Goodman</lastName>
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            <relatedPersonAddress>
                <street1>1900 Main Street</street1>
                <street2>Suite 700</street2>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <zipCode>92614</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Senior Vice President, Asset Management, of Sponsor - Thompson National Properties, LLC</relationshipClarification>
        </relatedPersonInfo>
    </relatedPersonsList>

    <offeringData>
        <industryGroup>
            <industryGroupType>Residential</industryGroupType>
        </industryGroup>
        <issuerSize>
            <revenueRange>Decline to Disclose</revenueRange>
        </issuerSize>
        <federalExemptionsExclusions>
            <item>06</item>
            <item>3C</item>
            <item>3C.1</item>
            <item>3C.5</item>
        </federalExemptionsExclusions>
        <typeOfFiling>
            <newOrAmendment>
                <isAmendment>true</isAmendment>
                <previousAccessionNumber>0001466589-09-000008</previousAccessionNumber>
            </newOrAmendment>
            <dateOfFirstSale>
                <value>2009-06-11</value>
            </dateOfFirstSale>
        </typeOfFiling>
        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
        </durationOfOffering>
        <typesOfSecuritiesOffered>
            <isEquityType>true</isEquityType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
            <clarificationOfResponse></clarificationOfResponse>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>100000</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>Larry I. Behrends</recipientName>
                <recipientCRDNumber>16971</recipientCRDNumber>
                <associatedBDName>Workman Securities Corporation</associatedBDName>
                <associatedBDCRDNumber>31989</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1275 58th Avenue, Suite A</street1>
                    <city>Greeley</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80634</zipCode>
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                    <state>CA</state>
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                    <state>CT</state>
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                    <state>GA</state>
                    <state>ID</state>
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                    <state>MD</state>
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            <recipient>
                <recipientName>Tracy R. Turner</recipientName>
                <recipientCRDNumber>1385745</recipientCRDNumber>
                <associatedBDName>Private Asset Group, Inc.</associatedBDName>
                <associatedBDCRDNumber>142541</associatedBDCRDNumber>
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                    <street1>1917 Palomar Oaks Way</street1>
                    <street2>Suite 150</street2>
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                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92008</zipCode>
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                    <state>AZ</state>
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            <recipient>
                <recipientName>Pacific West Securities, Inc.</recipientName>
                <recipientCRDNumber>6390</recipientCRDNumber>
                <associatedBDName>Pacific West Securities, Inc.</associatedBDName>
                <associatedBDCRDNumber>6390</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>555 S. Renton</street1>
                    <street2>Village Place, Suite 700</street2>
                    <city>Renton</city>
                    <stateOrCountry>WA</stateOrCountry>
                    <zipCode>98057</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
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            <recipient>
                <recipientName>John P. Harvey, Jr.</recipientName>
                <recipientCRDNumber>4227692</recipientCRDNumber>
                <associatedBDName>Omni Brokerage, Inc.</associatedBDName>
                <associatedBDCRDNumber>16878</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>One City Boulevard West</street1>
                    <street2>Suite 870</street2>
                    <city>Orange</city>
                    <stateOrCountry>CA</stateOrCountry>
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            <recipient>
                <recipientName>Mark S. Mourick</recipientName>
                <recipientCRDNumber>867435</recipientCRDNumber>
                <associatedBDName>Gramercy Securities, Inc.</associatedBDName>
                <associatedBDCRDNumber>8177</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>24901 Dana Point Harbor Drive</street1>
                    <street2>Suite 230</street2>
                    <city>Dana Point</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92629</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>FL</state>
                    <state>HI</state>
                    <state>OH</state>
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                    <state>OR</state>
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                    <state>VA</state>
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            </recipient>
            <recipient>
                <recipientName>M. Gene Walter</recipientName>
                <recipientCRDNumber>851987</recipientCRDNumber>
                <associatedBDName>MCL Financial Group, Inc.</associatedBDName>
                <associatedBDCRDNumber>41180</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>12600 West Colfax Avenue</street1>
                    <street2>Suite C-480</street2>
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                    <stateOrCountry>CO</stateOrCountry>
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                <recipientName>Stephen A. Pierce</recipientName>
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                <associatedBDCRDNumber>17609</associatedBDCRDNumber>
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                    <city>Daphne</city>
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            <recipient>
                <recipientName>Paul A. Conte</recipientName>
                <recipientCRDNumber>4803177</recipientCRDNumber>
                <associatedBDName>Alternative Wealth Strategies, Inc.</associatedBDName>
                <associatedBDCRDNumber>130993</associatedBDCRDNumber>
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                    <city>Framingham</city>
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                <associatedBDCRDNumber>142541</associatedBDCRDNumber>
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                    <street1>1917 Palomar Oaks Way</street1>
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                    <street1>1250 S. Capital of Texas Highway</street1>
                    <street2>Building I, Suite 400</street2>
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                    <state>FL</state>
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                <associatedBDCRDNumber>7569</associatedBDCRDNumber>
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                    <street1>248 Center Avenue</street1>
                    <city>Molalla</city>
                    <stateOrCountry>OR</stateOrCountry>
                    <zipCode>97038</zipCode>
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                    <state>SC</state>
                    <state>TX</state>
                    <state>WA</state>
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            <recipient>
                <recipientName>Michael J. Blackmore</recipientName>
                <recipientCRDNumber>2879954</recipientCRDNumber>
                <associatedBDName>Sammons Securities Company, LLC</associatedBDName>
                <associatedBDCRDNumber>115368</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>20 S. Village Drive, Suite B</street1>
                    <city>Liberty</city>
                    <stateOrCountry>MO</stateOrCountry>
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                    <state>MO</state>
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            <recipient>
                <recipientName>Jimmy D. Weishaar</recipientName>
                <recipientCRDNumber>2537959</recipientCRDNumber>
                <associatedBDName>Sammons Securities Company, LLC</associatedBDName>
                <associatedBDCRDNumber>115368</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>134 North 130 Street, Suite A</street1>
                    <city>Bonner Springs</city>
                    <stateOrCountry>KS</stateOrCountry>
                    <zipCode>66012</zipCode>
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                    <state>CO</state>
                    <state>ID</state>
                    <state>KS</state>
                    <state>MO</state>
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            <recipient>
                <recipientName>Warren A. Wedepohl</recipientName>
                <recipientCRDNumber>4581750</recipientCRDNumber>
                <associatedBDName>Pavek Investments Inc.</associatedBDName>
                <associatedBDCRDNumber>15791</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3603 N. Hastings Way, Suite 100</street1>
                    <city>Eau Claire</city>
                    <stateOrCountry>WI</stateOrCountry>
                    <zipCode>54703</zipCode>
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                    <state>CT</state>
                    <state>FL</state>
                    <state>IL</state>
                    <state>MN</state>
                    <state>WI</state>
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            </recipient>
            <recipient>
                <recipientName>Derek J. Elrod</recipientName>
                <recipientCRDNumber>4793202</recipientCRDNumber>
                <associatedBDName>Sloan Securities Corp.</associatedBDName>
                <associatedBDCRDNumber>17930</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Two Executive Drive</street1>
                    <city>Fort Lee</city>
                    <stateOrCountry>NJ</stateOrCountry>
                    <zipCode>07024-3308</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>FL</state>
                    <state>NV</state>
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            <recipient>
                <recipientName>Robert A. Horning</recipientName>
                <recipientCRDNumber>2311640</recipientCRDNumber>
                <associatedBDName>Centaurus Financial, Inc.</associatedBDName>
                <associatedBDCRDNumber>30833</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3 MacArthur Place, Suite 855</street1>
                    <city>Santa Ana</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92707</zipCode>
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                    <state>CA</state>
                    <state>NV</state>
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            <recipient>
                <recipientName>Robert Muldoon</recipientName>
                <recipientCRDNumber>2664336</recipientCRDNumber>
                <associatedBDName>Omni Brokerage, Inc.</associatedBDName>
                <associatedBDCRDNumber>16878</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>150 W. Civic Center Drive, Suite 103</street1>
                    <city>Sandy</city>
                    <stateOrCountry>UT</stateOrCountry>
                    <zipCode>84070</zipCode>
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                    <state>CA</state>
                    <state>DE</state>
                    <state>DC</state>
                    <state>KY</state>
                    <state>MD</state>
                    <state>NH</state>
                    <state>NC</state>
                    <state>SC</state>
                    <state>TN</state>
                    <state>VA</state>
                    <state>WV</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>James M. Mohan</recipientName>
                <recipientCRDNumber>2449709</recipientCRDNumber>
                <associatedBDName>Sammons Securities Company, LLC</associatedBDName>
                <associatedBDCRDNumber>115368</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>134 North 130 Street, Suite A</street1>
                    <city>Bonner Spring</city>
                    <stateOrCountry>KS</stateOrCountry>
                    <zipCode>66012</zipCode>
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                    <state>CO</state>
                    <state>ID</state>
                    <state>KS</state>
                    <state>MO</state>
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            <recipient>
                <recipientName>Brian D. Vosberg</recipientName>
                <recipientCRDNumber>4476509</recipientCRDNumber>
                <associatedBDName>Centaurus Financial, Inc.</associatedBDName>
                <associatedBDCRDNumber>30833</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>907 S. Myrtle Avenue</street1>
                    <city>Monrovia</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>91016</zipCode>
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                <statesOfSolicitationList>
                    <state>CA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Joseph R. Broadbent</recipientName>
                <recipientCRDNumber>3132498</recipientCRDNumber>
                <associatedBDName>Omni Brokerage, Inc.</associatedBDName>
                <associatedBDCRDNumber>16878</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2040 Murray-Holladay Road</street1>
                    <street2>Suite 201</street2>
                    <city>Salt Lake City</city>
                    <stateOrCountry>UT</stateOrCountry>
                    <zipCode>84117</zipCode>
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                    <state>AZ</state>
                    <state>AR</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>HI</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>KY</state>
                    <state>ME</state>
                    <state>MD</state>
                    <state>MN</state>
                    <state>MO</state>
                    <state>MT</state>
                    <state>NV</state>
                    <state>NM</state>
                    <state>NY</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>UT</state>
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            <recipient>
                <recipientName>F. Brian Tanner</recipientName>
                <recipientCRDNumber>5038888</recipientCRDNumber>
                <associatedBDName>Omni Brokerage, Inc.</associatedBDName>
                <associatedBDCRDNumber>16878</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>55 Madison Street, Suite 675</street1>
                    <city>Denver</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80206</zipCode>
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                <statesOfSolicitationList>
                    <state>CO</state>
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            <recipient>
                <recipientName>Robert G. Tatum</recipientName>
                <recipientCRDNumber>1936605</recipientCRDNumber>
                <associatedBDName>BancorpSouth Investment Services, Inc.</associatedBDName>
                <associatedBDCRDNumber>46259</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2909 13th Street</street1>
                    <city>Gulfport</city>
                    <stateOrCountry>MS</stateOrCountry>
                    <zipCode>39501</zipCode>
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                    <state>AL</state>
                    <state>FL</state>
                    <state>LA</state>
                    <state>MA</state>
                    <state>NC</state>
                    <state>TX</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Robert D. Russell</recipientName>
                <recipientCRDNumber>4667804</recipientCRDNumber>
                <associatedBDName>Kalos Capital, Inc.</associatedBDName>
                <associatedBDCRDNumber>44337</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3174 Presidential Drive</street1>
                    <city>Fairborn</city>
                    <stateOrCountry>OH</stateOrCountry>
                    <zipCode>45324</zipCode>
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                <statesOfSolicitationList>
                    <state>AL</state>
                    <state>KY</state>
                    <state>OH</state>
                    <state>SC</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>James T. Riner</recipientName>
                <recipientCRDNumber>376932</recipientCRDNumber>
                <associatedBDName>Crown Capital Securities, L.P.</associatedBDName>
                <associatedBDCRDNumber>6312</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1706 Plum Lane, Suite 109</street1>
                    <city>Redlands</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92374-4577</zipCode>
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                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Robert Russel Tweed</recipientName>
                <recipientCRDNumber>2339324</recipientCRDNumber>
                <associatedBDName>Capwest Securities, Inc.</associatedBDName>
                <associatedBDCRDNumber>30002</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>2060 Huntington Drive, Suite 1</street1>
                    <city>San Marino</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>91108</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>HI</state>
                    <state>ID</state>
                    <state>IL</state>
                    <state>ME</state>
                    <state>MA</state>
                    <state>MI</state>
                    <state>MN</state>
                    <state>MO</state>
                    <state>NV</state>
                    <state>NJ</state>
                    <state>NM</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>OR</state>
                    <state>PA</state>
                    <state>SC</state>
                    <state>TN</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Debra L. Mackie</recipientName>
                <recipientCRDNumber>2528711</recipientCRDNumber>
                <associatedBDName>Questar Capital Corporation</associatedBDName>
                <associatedBDCRDNumber>43100</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1623 York Avenue, Suite 108</street1>
                    <city>High Point</city>
                    <stateOrCountry>NC</stateOrCountry>
                    <zipCode>27265</zipCode>
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                    <state>MD</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>SC</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Berthel, Fisher &amp; Company Financial Services, Inc.</recipientName>
                <recipientCRDNumber>13069</recipientCRDNumber>
                <associatedBDName>None</associatedBDName>
                <associatedBDCRDNumber>None</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>701 Tama Street, Building B</street1>
                    <city>Marion</city>
                    <stateOrCountry>IA</stateOrCountry>
                    <zipCode>52302-0609</zipCode>
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                    <value>All States</value>
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            <recipient>
                <recipientName>James W. Olsen</recipientName>
                <recipientCRDNumber>857594</recipientCRDNumber>
                <associatedBDName>Crown Capital Securities, L.P.</associatedBDName>
                <associatedBDCRDNumber>6312</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1601 Belle Chasse Highway</street1>
                    <street2>Suite 200</street2>
                    <city>Gretna</city>
                    <stateOrCountry>LA</stateOrCountry>
                    <zipCode>70056</zipCode>
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                    <state>AL</state>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>CT</state>
                    <state>FL</state>
                    <state>IL</state>
                    <state>LA</state>
                    <state>MD</state>
                    <state>MN</state>
                    <state>MS</state>
                    <state>NY</state>
                    <state>OH</state>
                    <state>SC</state>
                    <state>TX</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>WY</state>
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            <recipient>
                <recipientName>Jeffrey J. Arburn</recipientName>
                <recipientCRDNumber>1475817</recipientCRDNumber>
                <associatedBDName>Whitehall-Parker Securities, Inc.</associatedBDName>
                <associatedBDCRDNumber>10608</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>880 East Campbell Avenue</street1>
                    <street2>Suite 206</street2>
                    <city>Campbell</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>95008</zipCode>
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                    <state>CA</state>
                    <state>NV</state>
                    <state>NY</state>
                    <state>OR</state>
                    <state>WA</state>
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            <recipient>
                <recipientName>Norberto Fernandez</recipientName>
                <recipientCRDNumber>5241882</recipientCRDNumber>
                <associatedBDName>Newport Coast Securities</associatedBDName>
                <associatedBDCRDNumber>16944</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3460 Torrance Boulevard</street1>
                    <street2>Suite 306</street2>
                    <city>Torrance</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>90503</zipCode>
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                <statesOfSolicitationList>
                    <state>CA</state>
                </statesOfSolicitationList>
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            <recipient>
                <recipientName>William W. Gammon</recipientName>
                <recipientCRDNumber>1811853</recipientCRDNumber>
                <associatedBDName>Centaurus Financial, Inc.</associatedBDName>
                <associatedBDCRDNumber>30833</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1122 Kenilworth Drive</street1>
                    <street2>Suite 201</street2>
                    <city>Towson</city>
                    <stateOrCountry>MD</stateOrCountry>
                    <zipCode>21204</zipCode>
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                    <state>AK</state>
                    <state>AR</state>
                    <state>CA</state>
                    <state>CT</state>
                    <state>DE</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IN</state>
                    <state>KY</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>SC</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                    <state>AK</state>
                    <state>AR</state>
                    <state>CA</state>
                    <state>CT</state>
                    <state>DE</state>
                    <state>DC</state>
                    <state>FL</state>
                    <state>GA</state>
                    <state>IN</state>
                    <state>KY</state>
                    <state>MD</state>
                    <state>MA</state>
                    <state>NJ</state>
                    <state>NY</state>
                    <state>NC</state>
                    <state>OH</state>
                    <state>PA</state>
                    <state>RI</state>
                    <state>SC</state>
                    <state>TX</state>
                    <state>UT</state>
                    <state>VA</state>
                    <state>WA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>William R. Furlong, Jr.</recipientName>
                <recipientCRDNumber>801636</recipientCRDNumber>
                <associatedBDName>Newport Coast Securities, Inc.</associatedBDName>
                <associatedBDCRDNumber>16944</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>3460 Torrance Boulevard</street1>
                    <street2>Suite 306</street2>
                    <city>Torrance</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>90503</zipCode>
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                <statesOfSolicitationList>
                    <state>AZ</state>
                    <state>CA</state>
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            </recipient>
            <recipient>
                <recipientName>Michael S. Welch</recipientName>
                <recipientCRDNumber>4215661</recipientCRDNumber>
                <associatedBDName>Kalos Capital, Inc.</associatedBDName>
                <associatedBDCRDNumber>44337</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>12900 Preston Road</street1>
                    <street2>Suite 400</street2>
                    <city>Dallas</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>75230</zipCode>
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                    <state>NJ</state>
                    <state>TX</state>
                    <state>WA</state>
                    <state>WI</state>
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            <recipient>
                <recipientName>Angela L. Tejeda</recipientName>
                <recipientCRDNumber>4212910</recipientCRDNumber>
                <associatedBDName>Money Concepts Capital Corp.</associatedBDName>
                <associatedBDCRDNumber>12963</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>8307 W. 34th Street North</street1>
                    <city>Wichita</city>
                    <stateOrCountry>KS</stateOrCountry>
                    <zipCode>67205</zipCode>
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                    <state>AZ</state>
                    <state>KS</state>
                    <state>TX</state>
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            <recipient>
                <recipientName>Christopher M. Schellin</recipientName>
                <recipientCRDNumber>5575534</recipientCRDNumber>
                <associatedBDName>Capstone Financial Group, Inc.</associatedBDName>
                <associatedBDCRDNumber>133591</associatedBDCRDNumber>
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                    <street1>8295 242nd Street</street1>
                    <city>Forest Lake</city>
                    <stateOrCountry>MN</stateOrCountry>
                    <zipCode>55025</zipCode>
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                    <state>CA</state>
                    <state>MO</state>
                    <state>NC</state>
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            <recipient>
                <recipientName>Leslie M. Pappas</recipientName>
                <recipientCRDNumber>1735372</recipientCRDNumber>
                <associatedBDName>Regent Capital Group, Inc.</associatedBDName>
                <associatedBDCRDNumber>126881</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>542 20th Avenue North</street1>
                    <city>Indian Rock Beach</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <zipCode>33785</zipCode>
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                    <state>CA</state>
                    <state>FL</state>
                    <state>NJ</state>
                    <state>NC</state>
                    <state>TN</state>
                    <state>WA</state>
                    <state>CA</state>
                    <state>FL</state>
                    <state>NJ</state>
                    <state>NC</state>
                    <state>TN</state>
                    <state>WA</state>
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            </recipient>
            <recipient>
                <recipientName>Gregory W. McCloskey</recipientName>
                <recipientCRDNumber>2820510</recipientCRDNumber>
                <associatedBDName>Newport Coast Securities, Inc.</associatedBDName>
                <associatedBDCRDNumber>16944</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>4100 Newport Place</street1>
                    <street2>Suite 630</street2>
                    <city>Newport Beach</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92660</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>FL</state>
                    <state>LA</state>
                    <state>NV</state>
                    <state>NY</state>
                    <state>OK</state>
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            </recipient>
            <recipient>
                <recipientName>Ivette M. Peugnet</recipientName>
                <recipientCRDNumber>1623785</recipientCRDNumber>
                <associatedBDName>Crown Capital Securities, L.P.</associatedBDName>
                <associatedBDCRDNumber>6312</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>17537 Oak Street</street1>
                    <city>Fountain Valley</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>92708</zipCode>
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                <statesOfSolicitationList>
                    <state>CA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>David B. McMillen</recipientName>
                <recipientCRDNumber>1198070</recipientCRDNumber>
                <associatedBDName>Crown Capital Securities, L.P.</associatedBDName>
                <associatedBDCRDNumber>6312</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>106 Pineview Lane</street1>
                    <city>Boulder</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80302</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>ID</state>
                    <state>OK</state>
                    <state>OR</state>
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            </recipient>
            <recipient>
                <recipientName>Craig C. Frieders</recipientName>
                <recipientCRDNumber>2817574</recipientCRDNumber>
                <associatedBDName>Sloan Securities Corp.</associatedBDName>
                <associatedBDCRDNumber>17930</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1615 Bonanza Street</street1>
                    <street2>Suite 403</street2>
                    <city>Walnut Creek</city>
                    <stateOrCountry>CA</stateOrCountry>
                    <zipCode>94596</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>GA</state>
                    <state>IL</state>
                    <state>MA</state>
                    <state>NH</state>
                    <state>NJ</state>
                    <state>OR</state>
                    <state>SC</state>
                    <state>VA</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Adam Bryan</recipientName>
                <recipientCRDNumber>5443986</recipientCRDNumber>
                <associatedBDName>Direct Capital Securities, Inc.</associatedBDName>
                <associatedBDCRDNumber>29639</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1250 S. Capital of Texas Highway</street1>
                    <street2>Building 1, Suite 350</street2>
                    <city>Austin</city>
                    <stateOrCountry>TX</stateOrCountry>
                    <zipCode>78746</zipCode>
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                <statesOfSolicitationList>
                    <state>CA</state>
                    <state>GA</state>
                    <state>WA</state>
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            </recipient>
            <recipient>
                <recipientName>John M. Kosmicki</recipientName>
                <recipientCRDNumber>2093885</recipientCRDNumber>
                <associatedBDName>Questar Capital Corporation</associatedBDName>
                <associatedBDCRDNumber>43100</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>910 54th Avenue</street1>
                    <street2>Suite 200</street2>
                    <city>Greeley</city>
                    <stateOrCountry>CO</stateOrCountry>
                    <zipCode>80634</zipCode>
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                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>HI</state>
                    <state>IN</state>
                    <state>KY</state>
                    <state>MD</state>
                    <state>NE</state>
                    <state>NM</state>
                    <state>SC</state>
                    <state>SD</state>
                    <state>VA</state>
                    <state>WY</state>
                    <state>AZ</state>
                    <state>CA</state>
                    <state>CO</state>
                    <state>HI</state>
                    <state>IN</state>
                    <state>KY</state>
                    <state>MD</state>
                    <state>NE</state>
                    <state>NM</state>
                    <state>SC</state>
                    <state>SD</state>
                    <state>VA</state>
                    <state>WY</state>
                </statesOfSolicitationList>
            </recipient>
            <recipient>
                <recipientName>Gary L. Flater</recipientName>
                <recipientCRDNumber>1049132</recipientCRDNumber>
                <associatedBDName>MCL Financial Group, Inc.</associatedBDName>
                <associatedBDCRDNumber>41180</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>1551 North Tustin Avenue</street1>
                    <street2>Suite 960</street2>
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        <signatureBlock>
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            <signature>
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                <signatureName>/Anthony W. Thompson/</signatureName>
                <nameOfSigner>Anthony W. Thompson</nameOfSigner>
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</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
-----END PRIVACY-ENHANCED MESSAGE-----