FORM D
Notice of Exempt Offering of Securities

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s)Checkbox checkedNoneEntity Type
0001774415
Radio button not checkedCorporation
Radio button not checked Limited Partnership
Radio button checked Limited Liability Company
Radio button not checked General Partnership
Radio button not checked Business Trust
Radio button not checkedOther 
Name of Issuer
 MCI Preferred Income Fund IV, LLC
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
Radio button not checkedOver Five Years Ago
Radio button checkedWithin Last Five Years (Specify Year)
2019
Radio button not checkedYet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 MCI Preferred Income Fund IV, LLC
Street Address 1Street Address 2
 2101 CEDAR SPRINGS ROAD
 SUITE 700
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 DALLAS
 TEXAS
 
 75201
 888-418-3730 



3. Related Persons

Last NameFirst NameMiddle Name
Afzalipour
Armin
Street Address 1Street Address 2
 2101 Cedar Springs Road 
 Suite 700
CityState/Province/CountryZIP/Postal Code
 dallas
 TEXAS
 75201
 
Relationship:Checkbox checkedExecutive OfficerCheckbox checkedDirectorCheckbox checkedPromoter
Clarification of Response (if Necessary)
Co-President of the Filer's Manager


Last NameFirst NameMiddle Name
Afzalipour
Arash
Street Address 1Street Address 2
 2101 Cedar Springs Road 
 Suite 700
CityState/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75201
 
Relationship:Checkbox checkedExecutive OfficerCheckbox checkedDirectorCheckbox checkedPromoter
Clarification of Response (if Necessary)
Co-President of the Filer's Manager


Last NameFirst NameMiddle Name
LLC
MCI Holdings,
Street Address 1Street Address 2
 2101 Cedar Springs Road 
 Suite 700
CityState/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75201
 
Relationship:Checkbox not checkedExecutive OfficerCheckbox checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Sole Common Member of the Filer


Last NameFirst NameMiddle Name
LLC
Megatel Capital Investment,
Street Address 1Street Address 2
 2101 Cedar Springs Road 
 Suite 700
CityState/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75201
 
Relationship:Checkbox not checkedExecutive OfficerCheckbox checkedDirectorCheckbox checkedPromoter
Clarification of Response (if Necessary)
Sole Manager of the Filer




4. Industry Group
 Radio button not checkedAgriculture
Banking & Financial Services
 Radio button not checked Commercial Banking
 Radio button not checked Insurance
 Radio button not checkedInvesting
 Radio button not checked Investment Banking
 Radio button not checked Pooled Investment Fund

 Radio button not checkedOther Banking & Financial Services
Radio button not checked Business Services
Energy
 Radio button not checked Coal Mining
 Radio button not checked Electric Utilities
 Radio button not checked Energy Conservation
 Radio button not checked Environmental Services
 Radio button not checked Oil & Gas
 Radio button not checked Other Energy
Health Care
 Radio button not checked Biotechnology
 Radio button not checked Health Insurance
 Radio button not checked Hospitals & Physicians
 Radio button not checked Pharmaceuticals
 Radio button not checked Other Health Care
   
   
   
  
Radio button not checked Manufacturing
Real Estate
 Radio button not checkedCommercial
 Radio button not checkedConstruction
 Radio button not checkedREITS & Finance
 Radio button not checkedResidential
Radio button checkedOther Real Estate
Radio button not checked Retailing
Radio button not checkedRestaurants
Technology
Radio button not checked Computers
Radio button not checked Telecommunications
Radio button not checked Other Technology
Travel
Radio button not checked Airlines & Airports
Radio button not checked Lodging & Conventions
Radio button not checked Tourism & Travel Services
Radio button not checked Other Travel
Radio button not checkedOther

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
Radio button not checkedNo RevenuesRadio button not checked No Aggregate Net Asset Value
Radio button not checked $1 - $1,000,000Radio button not checked$1 - $5,000,000
Radio button not checked $1,000,001 - $5,000,000Radio button not checked $5,000,001 - $25,000,000
Radio button not checked$5,000,001 - $25,000,000Radio button not checked $25,000,001 - $50,000,000
Radio button not checked$25,000,001 - $100,000,000Radio button not checked $50,000,001 - $100,000,000
Radio button not checked Over $100,000,000Radio button not checked Over $100,000,000
Radio button checked Decline to Disclose Radio button not checkedDecline to Disclose
Radio button not checked Not ApplicableRadio button not checked Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Checkbox not checkedRule 504(b)(1) (not (i), (ii)
or (iii))		Checkbox checkedRule 506(b)      
Checkbox not checkedRule 504 (b)(1)(i) Checkbox not checkedRule 506(c)
Checkbox not checkedRule 504 (b)(1)(ii) Checkbox not checkedSecurities Act Section 4(a)(5)
Checkbox not checkedRule 504 (b)(1)(iii)Checkbox not checkedInvestment Company Act Section 3(c)
 
 

7. Type of Filing
Checkbox not checked New Notice Date of First Sale 
2019-08-27
Checkbox not checked First Sale Yet to Occur
Checkbox checked Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? Radio button checked Yes Radio button not checked No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox not checkedPooled Investment Fund InterestsCheckbox checkedEquity
Checkbox not checkedTenant-in-Common Securities Checkbox not checkedDebt
Checkbox not checkedMineral Property SecuritiesCheckbox not checkedOption, Warrant or Other Right to Acquire Another Security
Checkbox not checkedSecurity to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire SecurityCheckbox not checkedOther (describe)
 
 
 
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? Radio button not checked Yes Radio button checked No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 25000
USD

12. Sales Compensation
Recipient Recipient CRD NumberCheckbox not checkedNone
 International Assets Advisory, LLC
 10645
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
390 North Orange Avenue
Suite 750
City State/Province/CountryZIP/Postal Code
 Orlando
 FLORIDA
 32801
State(s) of SolicitationCheckbox checkedAll StatesCheckbox checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Cabot Lodge Securities LLC
 159712
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
200 Vesey Street
24th Floor
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10281
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Westpark Wealth Advisors, Inc.
 130914
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
West 8 Tower 10205 Westheimer
Suite 500
City State/Province/CountryZIP/Postal Code
 Houston
 TEXAS
 77042
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
HAWAII
IDAHO
INDIANA
IOWA
KANSAS
MARYLAND
MASSACHUSETTS
MICHIGAN
MISSISSIPPI
MISSOURI
NEBRASKA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient Recipient CRD NumberCheckbox not checkedNone
 Benchmark Investments, Inc.
 103792
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
175 Country Club Drive
Bldg 400, Suite D
City State/Province/CountryZIP/Postal Code
 Stockbridge
 GEORGIA
 30281
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Center Street Securities, Inc.
 26898
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2 International Plaza
Suite 301
City State/Province/CountryZIP/Postal Code
 Nashville
 TENNESSEE
 37217
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Network 1 Financial Securities Inc.
 13577
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
The Galleria, Suite 241
2 Bridge Avenue
City State/Province/CountryZIP/Postal Code
 Red Bank
 NEW JERSEY
 07701
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 NI Advisors
 134502
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1138 Cadillac Court
 
City State/Province/CountryZIP/Postal Code
 Milpitas
 CALIFORNIA
 95035
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
CALIFORNIA
CONNECTICUT
FLORIDA
GEORGIA
HAWAII
IDAHO
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MISSOURI
NEVADA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
VIRGINIA
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Momentum Advisors, LLC
 159574
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1120 Avenue of the America
4th Floor
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10036
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
GEORGIA
MARYLAND
NEW JERSEY
NEW YORK
PENNSYLVANIA
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Bain Wealth Management Group, LLC
 281066
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
885 Lancaster Drive
SE Suite C
City State/Province/CountryZIP/Postal Code
 Salem
 OREGON
 97317
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Dempsey Lord Smith, LLC
 141238
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
901 N. Broad Street
Suite 400
City State/Province/CountryZIP/Postal Code
 Rome
 GEORGIA
 30161
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Purshe Kaplan Sterling Investments
 35747
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
18 Corporate Woods Blvd
 
City State/Province/CountryZIP/Postal Code
 Albany
 NEW YORK
 12211
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Grand Parkway Capital, LLC
 149775
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
22322 Grand Corner Drive
Suite 150
City State/Province/CountryZIP/Postal Code
 Katy
 TEXAS
 77494
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Sanders Morris Harris, LLC
 20580
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
600 Travis
Suite 5900
City State/Province/CountryZIP/Postal Code
 Houston
 TEXAS
 77002
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Great Point Capital, LLC
 114203
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
200 West Jackson Blvd.
Suite 1000
City State/Province/CountryZIP/Postal Code
 Chicago
 ILLINOIS
 60606
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 T. Dibernardo Consulting, Inc.
 291634
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
150 Broadhollow Road
Suite 209
City State/Province/CountryZIP/Postal Code
 Melville
 NEW YORK
 11747
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NEW YORK
Recipient Recipient CRD NumberCheckbox not checkedNone
 Vienna Asset Management, LLC
 299725
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
20370 Town Center Lane
Suite 122
City State/Province/CountryZIP/Postal Code
 Cupertino
 CALIFORNIA
 95014
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Claraphi Advisory Network, LLC
 165868
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
120 Vantis Drive
Suite 585
City State/Province/CountryZIP/Postal Code
 Aliso Viejo
 CALIFORNIA
 92656
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Investment Security Corporation
 47536
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
24009 Ventura Blvd
Suite 101
City State/Province/CountryZIP/Postal Code
 Calabasas
 CALIFORNIA
 91302
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
CALIFORNIA
FLORIDA
ILLINOIS
MASSACHUSETTS
MISSISSIPPI
NEVADA
NEW MEXICO
OREGON
TEXAS
UTAH
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 LFS RIA, LLC
 153391
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
PO BOX 25067
 
City State/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75225
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Emerson Equity, LLC
 130032
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
155 Bovet Road
Suite 725
City State/Province/CountryZIP/Postal Code
 San Mateo
 CALIFORNIA
 94402
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 PHX Financial Inc.
 144403
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
100 Wall Street
Floor 10
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10005
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 The Strategic Financial Alliance
 126514
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2200 Century Parkway
Suite 500
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30345
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 SCF Securities, Inc.
 47275
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
155 Shaw Ave
Suite 102
City State/Province/CountryZIP/Postal Code
 Fresno
 CALIFORNIA
 93710
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 KCD Financial, Inc.
 127472
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3061 Allied Street
 
City State/Province/CountryZIP/Postal Code
 Green Bay
 WISCONSIN
 54304
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Alexander Capital, LP
 40077
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
17 State Street
5th Floor
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10004
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Arkadios Capital
 282710
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
309 East Paces Ferry Road
Suite 10000
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30305
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 SW Financial
 145012
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1295 Walt Whitman Road
Suite A
City State/Province/CountryZIP/Postal Code
 Melville
 NEW YORK
 11747
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 LifeMark Securities Corp.
 16204
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
400 West Metro Park
 
City State/Province/CountryZIP/Postal Code
 Rochester
 NEW YORK
 14623
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Crown Capital Securities, L.P
 6312
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
725 Town Country Toad
Suite 530
City State/Province/CountryZIP/Postal Code
 Orange
 CALIFORNIA
 92868
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 RelyOn Financial Advisors
 269934
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1314 W. mcdermott Drive
Suites 106-827
City State/Province/CountryZIP/Postal Code
 Allen
 TEXAS
 75013
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Plan Group Financial, Inc.
 116508
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
6 NE 63rd Street
Suite 240
City State/Province/CountryZIP/Postal Code
 Oklahoma City
 OKLAHOMA
 73105
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
OKLAHOMA
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Great Nation Investment Coporation
 19981
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
5408 Bell Building A
Suite 100
City State/Province/CountryZIP/Postal Code
 Amarillo
 TEXAS
 79109
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Barndollar Investments Advisory Services Incoporated
 168247
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2719 LeTap Court
Suite 101
City State/Province/CountryZIP/Postal Code
 Land O' Lakes
 FLORIDA
 34638
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Newbridge Securities Corporation
 288898
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
10920 Via Frontera
Suite 520
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92127
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
PUERTO RICO
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Aegis Capital Corporation
 15007
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
810 7th Avenue
18th and 22nd Floor
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10019
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Investment Fiduciary Planners, LLC
 287842
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
720 S. Colorado BLVD Penthouse North
 
City State/Province/CountryZIP/Postal Code
 Denver
 COLORADO
 88246
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
COLORADO
Recipient Recipient CRD NumberCheckbox not checkedNone
 World Equity Group, Inc.
 29087
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1650 N. Arlington Heights Road
Suite 100
City State/Province/CountryZIP/Postal Code
 Arlington Heights
 ILLINOIS
 60004
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Chalice Capital Partners
 288898
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
10920 VIA Frontera
Suite 520
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92127
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Westpark Capital, Inc
 39914
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1900 Avenue of the Stars
Suite 310
City State/Province/CountryZIP/Postal Code
 Los Angeles
 CALIFORNIA
 90067
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Asset Preservation Group, Inc.
 108150
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2750 William D. Tate Ave
Suite 100
City State/Province/CountryZIP/Postal Code
 Grapevine
 TEXAS
 76051
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Alliance Global Partners
 8361
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
88 Post Road West
2nd Floor
City State/Province/CountryZIP/Postal Code
 Westport
 CONNECTICUT
 06880
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Vestech Securities, Inc.
 41409
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1477 Olde Cabin Road
Suite 310
City State/Province/CountryZIP/Postal Code
 St. Louis
 MISSOURI
 63141
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Coastal Equities, Inc.
 23769
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1201 N. Orange Street
Suite 729
City State/Province/CountryZIP/Postal Code
 Wilmington
 DELAWARE
 19801
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 O'Connell Investments and Insurance Services, LLC
 290254
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1075 Washington Street
Suite 200
City State/Province/CountryZIP/Postal Code
 Eugene
 OREGON
 97401
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARKANSAS
CALIFORNIA
IDAHO
NORTH CAROLINA
OREGON
TEXAS
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Money Script Wealth Management, PLLC
 286134
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
610 Upton Blvd
 
City State/Province/CountryZIP/Postal Code
 Cedar Hill
 TEXAS
 75104
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
NEVADA
NEW YORK
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Capital Markets IQ, LLC
 134921
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
427 N. Tatnall
Suite 52811
City State/Province/CountryZIP/Postal Code
 Wilmington
 DELAWARE
 19801
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
DELAWARE
FLORIDA
GEORGIA
ILLINOIS
LOUISIANA
MASSACHUSETTS
MICHIGAN
MISSOURI
NEBRASKA
NEW JERSEY
NEW YORK
NORTH CAROLINA
PENNSYLVANIA
TENNESSEE
TEXAS
VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 TRS Advisors
 283248
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
6040 Camp Bowie
Suite 3
City State/Province/CountryZIP/Postal Code
 Fort Worth
 TEXAS
 76166
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Western International Securities
 39262
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
70 S. Lake Avenue
Suite 700
City State/Province/CountryZIP/Postal Code
 Pasadena
 CALIFORNIA
 91101
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Veripax Wealth Management, Inc.
 95630
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
101 Parkshore Drive
Suite 100
City State/Province/CountryZIP/Postal Code
 Flosom
 CALIFORNIA
 95630
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Wealth Management of Kentucky, Inc.
 171446
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2201 Regency Rd.
Suite 703
City State/Province/CountryZIP/Postal Code
 Lexington
 KENTUCKY
 40503
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
KENTUCKY
Recipient Recipient CRD NumberCheckbox not checkedNone
 WE Alliance Wealth Advisors, Inc.
 175405
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3001 Douglas Blvd.
Suite 142
City State/Province/CountryZIP/Postal Code
 Roseville
 CALIFORNIA
 95661
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Acorn Financial Advisory Services, Inc.
 116763
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1875 Campus Commons Drive
Suite 100
City State/Province/CountryZIP/Postal Code
 Reston
 VIRGINIA
 20191
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
NEBRASKA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
VIRGINIA
WASHINGTON
WEST VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 JRL Capital Corporation
 10225
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
100 Pacifica
Suite 360
City State/Province/CountryZIP/Postal Code
 Irvine
 CALIFORNIA
 92618
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
HAWAII
IDAHO
ILLINOIS
MARYLAND
NEVADA
NEW JERSEY
NEW YORK
OREGON
TEXAS
UTAH
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Saxony Securities, Inc.
 115547
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
7401 Watson Road
Suite 86
City State/Province/CountryZIP/Postal Code
 St. Louis
 MISSOURI
 63119
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Independence Capital Co., Inc.
 24723
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
5579 Pearl Road
Suite 100
City State/Province/CountryZIP/Postal Code
 Parma
 OHIO
 44129
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ARIZONA
CALIFORNIA
CONNECTICUT
DELAWARE
FLORIDA
GEORGIA
ILLINOIS
INDIANA
KANSAS
KENTUCKY
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Frontier Financial Partners, LLC
 136465
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
4080 Camberley Street
 
City State/Province/CountryZIP/Postal Code
 Franklin
 TENNESSEE
 37064
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
KENTUCKY
SOUTH DAKOTA
TENNESSEE
TEXAS
VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Abound Wealth Strategies, LLC
 305362
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
901 Wesleyan Road
Suite 420
City State/Province/CountryZIP/Postal Code
 Indianapolis
 INDIANA
 76268
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
INDIANA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Hill Country Group
 307376
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2 Spencer Road
Suite 102
City State/Province/CountryZIP/Postal Code
 Boerne
 TEXAS
 78006
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Parsons Capital Management, LLC
 114494
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1 South Sugan Road
 
City State/Province/CountryZIP/Postal Code
 New Hope
 PENNSYLVANIA
 18938
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
ILLINOIS
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
TEXAS
VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
11440 W. Bernardo Court
Suite 300
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92127
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Purepath Wealth Management
 168247
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2719 Letap Court
Suite 101
City State/Province/CountryZIP/Postal Code
 Land O' Lakes
 FLORIDA
 34638
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Investment Planners, Inc.
 18557
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
226 W. Eldorado Street
 
City State/Province/CountryZIP/Postal Code
 Decatur
 ILLINOIS
 62522
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 International Assets Investment Management, LLC
 144426
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
390 North Orange Avenue
Suite 750
City State/Province/CountryZIP/Postal Code
 Orlando
 FLORIDA
 32801
State(s) of SolicitationCheckbox checkedAll StatesCheckbox checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Capital City Securities, LLC
 146001
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3789 Attucks Drive
 
City State/Province/CountryZIP/Postal Code
 Powell
 OHIO
 43065
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
HAWAII
ILLINOIS
INDIANA
IOWA
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
NEVADA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
VIRGINIA
WEST VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Fourstar Wealth Advisors, LLC
 169613
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
351 W. Hubbard
Suite 420
City State/Province/CountryZIP/Postal Code
 Chicago
 ILLINOIS
 60654
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
CALIFORNIA
COLORADO
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
ILLINOIS
INDIANA
MARYLAND
MASSACHUSETTS
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
TEXAS
VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Insight Financial
 286467
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
7307 SW Beveland Road
Suite 200
City State/Province/CountryZIP/Postal Code
 Tigard
 OREGON
 97223
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
OREGON
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Client First Capital, LLC
 300684
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
4075 Park Blvd
Suite 102-400
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92103
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
NEW YORK
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Lyke Financial
 154199
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
4017 Whipple Avenue, N.W.
 
City State/Province/CountryZIP/Postal Code
 Canton
 OHIO
 44718
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
OHIO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Pivotal Advisors LLC
 310612
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
530 7th Avenue
 
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10018
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NEW YORK
Recipient Recipient CRD NumberCheckbox not checkedNone
 First Financial Equity Corporation
 16507
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
7373 N. Scottsdale Road
Suite D120
City State/Province/CountryZIP/Postal Code
 Scottsdale
 ARIZONA
 85253
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Calton & Associates, Inc.
 20999
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2701 N. Rocky Point Drive
Suite 1000
City State/Province/CountryZIP/Postal Code
 Tampa
 FLORIDA
 33607
State(s) of SolicitationCheckbox checkedAll StatesCheckbox checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Nova Capital Solutions
 174636
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1600 SE 15th Street #305
 
City State/Province/CountryZIP/Postal Code
 Fort Lauderdale
 FLORIDA
 33316
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
FLORIDA
MISSOURI
NEW YORK
NORTH CAROLINA
TEXAS



13. Offering and Sales Amounts
 
Total Offering Amount $
500000000
USDCheckbox not checkedIndefinite
Total Amount Sold $
49599420
USD
Total Remaining to be Sold $
450400580
USDCheckbox not checkedIndefinite
Clarification of Response (if Necessary)
Information as of July 8, 2021.
 
14. Investors

Checkbox not checkedSelect if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
   
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
621
 
15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$
50000000
USDCheckbox checkedEstimate
Finders' Fees$
0
USDCheckbox not checkedEstimate
Clarification of Response (if Necessary)
Assuming Maximum Offering Amount raised. Includes Selling Commissions of 7%; Managing Broker-Dealer Fee of 2.5% (which may be re-allowed, in part, to certain members of the Selling Group); and up to 0.5% as a Servicing Fee to the Managing Broker Dealer.
 

16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 
10000000
USDCheckbox checkedEstimate
Clarification of Response (if Necessary)
Assuming Maximum Offering Amount raised. Consists of 2% of gross offering proceeds for organization and offering expenses, as such fees are further defined in the Filer's confidential private placement memorandum.

Signature and Submission
 
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission 
 In submitting this notice, each Issuer named above is: 
 
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
 
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
 
IssuerSignatureName of SignerTitleDate
MCI Preferred Income Fund IV, LLCArmin AfzalipourArmin AfzalipourCo-President of Filer's Manager2021-07-08