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  Private Placements - Reg D Forum  Sponsors & Priv...  Private Placeme...  Cypress Income Funds 1-9
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New Post 10/25/2009 5:42 PM
  PrivatePlacement
623 posts
5th Level Poster


Cypress Income Funds 1-9 

Welcome to Cypress Financial Corporation

Cypress was founded in 1985 and is a privately owned company, headquartered in San Francisco. Cypress specializes in purchasing secondary market equipment leasing transactions from institutional lessors. Acquisitions are made on behalf of Cypress managed investment programs and for Cypress' own account.

In addition, Cypress advises lessees and lessors with respect to end-of-lease negotiations and its executives serve as expert witnesses in litigation..

 
 
New Post 10/25/2009 5:43 PM
  PrivatePlacement
623 posts
5th Level Poster


Re: Cypress Income Funds 1-9 

http://www.cypressleasing.com/investor/index.html


Welcome to Cypress Investor Services! By clicking on the topics to the right, you can access frequently asked questions, forms which you can use to authorize direct deposit; change your address, broker of record, or distribution information; or re-register your investment. You can also obtain K-1 instructions and provide us with your feedback. In order to view these documents, you will need Adobe Acrobat Reader. Should you have any questions about these forms or any other matter in connection with your investment, please feel free to contact us, toll-free, at (866) 866-9330.

Due to applicable securities laws and regulations, certain information with respect to Cypress' investment programs is restricted. Current investors can access this information by entering the 4-digit numbers indicated in the letter that accompanied their Confirmation of Investment or in the most recent Quarterly Investor Newsletters. Investors may also call Investor Services at (866) 866-9330 to obtain username and password information.


Due to applicable securities laws and regulations, information with respect to Cypress investment programs is restricted to FINRA Broker-Dealers that have established selling agreements with Cypress Capital Corporation.

In order to access the areas listed to the right, you will be asked to supply a password.

If you need help locating a username/password combo, or for any other assistance or questions, please contact our Marketing Team at (888) 800-0988.


 Cypress Income Fund Cypress Equipment Funds Cypress Growth Funds Due Diligence Investor Positions

Business Continuity Plan Privacy

 
 
New Post 10/25/2009 5:46 PM
  PrivatePlacement
623 posts
5th Level Poster


Re: Cypress Income Funds 1-9 


 
 
 

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

FORM D

OMB APPROVAL
OMB Number: 3235-0076
Expires: September 30, 2008
Estimated Average burden hours per response: 4.0
Notice of Exempt Offering of Securities


 
1. Issuer's Identity
CIK (Filer ID Number) Previous Name(s)   x None Entity Type
0001451787
 
o Corporation
o Limited Partnership
x Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
  Cypress Equipment Fund 16, LLC
Jurisdiction of Incorporation/Organization
CALIFORNIA
 
Year of Incorporation/Organization
  o Over Five Years Ago
  x Within Last Five Years (Specify Year) 2008
  o Yet to Be Formed  



2. Principal Place of Business and Contact Information
Name of Issuer  
  Cypress Equipment Fund 16, LLC  
Street Address 1 Street Address 2
  188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code Phone No. of Issuer
  San Francisco   CA   94105   415-281-3020  


 

3. Related Persons
Last Name First Name Middle Name
Harwood Stephen Rogers
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer x Director x Promoter
Clarification of Response (if Necessary)
  Officer and Director of LLC Manager
Last Name First Name Middle Name
Cypress Equipment Management Corp IV NA  
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer o Director x Promoter
Clarification of Response (if Necessary)
  LLC Manager
Last Name First Name Middle Name
Park Kenneth  
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  Officer of LLC Manager
Last Name First Name Middle Name
Rael Daniel  
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  Officer of LLC Manager
 


4. Industry Group
o Agriculture   Health Care o Retailing
  Banking & Financial Services   o Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance   Technology
  o Insurance   o Hospitals & Physicians   o Computers
  o Investing   o Pharmaceuticals   o Telecommunications
  o Investment Banking   o Other Health Care   o Other Technology
  o Pooled Investment Fund
        Travel
  x Other Banking & Financial Services o Manufacturing   o Airlines & Airports
  Real Estate   o Lodging & Conventions
  o Commercial   o Tourism & Travel Services
  o Construction   o Other Travel
  o REITS & Finance o Other
  o Residential  
  o Other Real Estate  
o Business Services  
  Energy  
  o Coal Mining  
  o Electric Utilities  
  o Energy Conservation  
  o Environmental Services  
  o Oil & Gas  
  o Other Energy  


5. Issuer Size
Revenue Range Aggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable
 


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506
o Rule 504 (b)(1)(ii) o Securities Act Section 4(6)
o Rule 504 (b)(1)(iii) o Investment Company Act Section 3(c)

7. Type of Filing
o New Notice Date of First Sale   2009-01-07 o First Sale Yet to Occur
x Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? x Yes o No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests x Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities o Option, Warrant or Other Right to Acquire Another Security
o Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
   


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary)  
   

11. Minimum Investment
Minimum investment accepted from any outside investor $   35000   USD
 

12. Sales Compensation
Recipient Recipient CRD Number o None
  Cypress Capital Corporation   42681
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Cypress Capital Corporation   42681
Street Address 1 Street Address 2
  188 The Embarcader, Suite 420    
City State/Province/Country ZIP/Postal Code
  San Francisco   CA   94105
State(s) of Solicitation o All States
    AZ   AR   CA   CO   CT   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   MD   MA   MI   MN   MO   NE   NV   NJ   NY   NC   OH   OR   PA   SC   TN   TX   UT   VT   VA   WA   WI
Recipient Recipient CRD Number o None
  Michael L. Staines, Jr.   5303142
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Berthel, Fisher and Company Financial Services, Inc.   13609
Street Address 1 Street Address 2
  300 Harding Blvd.   Suite 209
City State/Province/Country ZIP/Postal Code
  Roseville   CA   95678
State(s) of Solicitation o All States
    AZ   CA   NJ   NY   PA   TX
Recipient Recipient CRD Number o None
  Zachary L. Carey   3110546
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Calton and Associates, Inc.   20999
Street Address 1 Street Address 2
  1223 E. Jackson Ave.   Suite 301
City State/Province/Country ZIP/Postal Code
  Oxford   MS   38655
State(s) of Solicitation o All States
    AL   AR   FL   GA   KY   LA   MS   TN   TX   VA
 
Recipient Recipient CRD Number o None
  Oliver B. Williamson   4642029
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Calton and Associates, Inc.   20999
Street Address 1 Street Address 2
  611 Hambley Blvd.    
City State/Province/Country ZIP/Postal Code
  Pikeville   KY   41501
State(s) of Solicitation o All States
    FL   IN   KY   MA   NY   NC   OH   SC   TN   VA
Recipient Recipient CRD Number o None
  Phillip D. King   1839137
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Calton and Associates, Inc.   20999
Street Address 1 Street Address 2
  611 Hambley Blvd.    
City State/Province/Country ZIP/Postal Code
  Pikeville   KY   41501
State(s) of Solicitation o All States
    CA   FL   GA   IN   KY   MI   NC   OH   SC   TN   VA
Recipient Recipient CRD Number o None
  Maryellen Trotter   862519
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Centaurus Financial, Inc.   30833
Street Address 1 Street Address 2
  1515 E. Cedar Avenue   Suite C5
City State/Province/Country ZIP/Postal Code
  Flagstaff   AZ   86004
State(s) of Solicitation o All States
    AZ   CA   CO   FL   GA   MS   NV   NM   PA
 
Recipient Recipient CRD Number o None
  Bryan D. Myers   2527480
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Chapin, Davis   28116
Street Address 1 Street Address 2
  2 Village Square, Suite 200    
City State/Province/Country ZIP/Postal Code
  Baltimore   MD   21210
State(s) of Solicitation o All States
    MD   VA
Recipient Recipient CRD Number o None
  Edward W. Grogan IV   2344994
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Commonwealth Financial Network   8032
Street Address 1 Street Address 2
  6625 Wagner Way NW   Suite 320
City State/Province/Country ZIP/Postal Code
  Gig Harbor   WA   98335
State(s) of Solicitation o All States
    AK   AZ   CA   CO   CT   DC   FL   HI   ID   KY   MD   MI   MN   MT   NE   NH   NY   OR   SC   TX   WA   WI
Recipient Recipient CRD Number o None
  Robert E. Leib   1267444
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Commonwealth Financial Network   8032
Street Address 1 Street Address 2
  101 West Elm Street   Suite 500
City State/Province/Country ZIP/Postal Code
  Conshohocken   PA   19428
State(s) of Solicitation o All States
    CA   DE   FL   IL   MD   NJ   NY   NC   PA   VA
 
Recipient Recipient CRD Number o None
  Joseph L. England   2934344
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Commonwealth Financial Network   8032
Street Address 1 Street Address 2
  101 West Elm Street   Suite 500
City State/Province/Country ZIP/Postal Code
  Conshohocken   PA   19428
State(s) of Solicitation o All States
    DE   IN   NJ   PA
Recipient Recipient CRD Number o None
  Stephen A. Catania   2389489
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  725 Town and Country Road   Suite 530
City State/Province/Country ZIP/Postal Code
  Orange   CA   92868
State(s) of Solicitation o All States
    GA   IL   TN   VA
Recipient Recipient CRD Number o None
  Melissa C. Mather   4697533
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  1756 Grain Mill Road    
City State/Province/Country ZIP/Postal Code
  San Marcos   CA   92078
State(s) of Solicitation o All States
    CA
 
Recipient Recipient CRD Number o None
  David B. McMillen   1198070
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  106 Pineview Lane    
City State/Province/Country ZIP/Postal Code
  Boulder   CO   80302
State(s) of Solicitation o All States
    CA   CO   ID   OR
Recipient Recipient CRD Number o None
  David A. Harris   500413
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  David Harris and Co., Inc.   45670
Street Address 1 Street Address 2
  222 Mamaroneck Avenue    
City State/Province/Country ZIP/Postal Code
  White Plains   NY   10605
State(s) of Solicitation o All States
    AZ   CA   CT   FL   HI   IL   ME   MD   MI   NJ   NY   NC   VA
Recipient Recipient CRD Number o None
  Donald G. Dewaay Jr.   1297174
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Dewaay Financial Network, LLC   30767
Street Address 1 Street Address 2
  13001 University Avenue    
City State/Province/Country ZIP/Postal Code
  Clive   IA   50325
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   MA   MI   MN   MO   MT   NE   NV   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Joshua E. Cross   4522751
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Dewaay Financial Network, LLC   30767
Street Address 1 Street Address 2
  13001 University Avenue    
City State/Province/Country ZIP/Postal Code
  Clive   IA   50325
State(s) of Solicitation o All States
    AL   AZ   FL   HI   IL   IA   KS   KY   MA   MN   MO   NE   NV   NC   OH   TX   WA   WI
Recipient Recipient CRD Number o None
  Michael D. Morrow   2364423
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Dewaay Financial Network, LLC   30767
Street Address 1 Street Address 2
  402 N. Carroll Ave., Suite 100    
City State/Province/Country ZIP/Postal Code
  Southlake   TX   76092
State(s) of Solicitation o All States
    IL   OK   TX
Recipient Recipient CRD Number o None
  H. Beck, Inc.   1763
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  H. Beck, Inc.   1763
Street Address 1 Street Address 2
  11140 Rockville Pike   Suite 400
City State/Province/Country ZIP/Postal Code
  Rockville   MD   20852
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Robert J. Steyert   1122075
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  30448 Rancho Viejo Road, No. 175    
City State/Province/Country ZIP/Postal Code
  San Juan Capistrano   CA   92675
State(s) of Solicitation o All States
    CA   FL   NJ   NY   UT   WA
Recipient Recipient CRD Number o None
  Lora J. Hoff   3175071
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Investment Planners, Inc.   18557
Street Address 1 Street Address 2
  10440 N. Central Expressway   Suite 1040
City State/Province/Country ZIP/Postal Code
  Dallas   TX   75231
State(s) of Solicitation o All States
    IA   MN   MO   OK   TX
Recipient Recipient CRD Number o None
  LPL Financial Corporation   6413
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  LPL Financial Corporation   6413
Street Address 1 Street Address 2
  One Beacon Street   22nd Floor
City State/Province/Country ZIP/Postal Code
  Boston   MA   02108
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Thomas J. Birch   805540
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mid Atlantic Capital Corporation   10674
Street Address 1 Street Address 2
  1683 Novato Blvd.   Suite 2
City State/Province/Country ZIP/Postal Code
  Novato   CA   94949
State(s) of Solicitation o All States
    AZ   CA   GA   ID   MO   OR
Recipient Recipient CRD Number o None
  Leroy H. Nickels III   813787
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mutual Service Corporation   4806
Street Address 1 Street Address 2
  2900 Bluecutt Road   Suite 1
City State/Province/Country ZIP/Postal Code
  Columbus   MS   39705
State(s) of Solicitation o All States
    AL   AR   CA   CO   FL   GA   ID   IL   LA   MD   MS   NC   OR   TN   TX
Recipient Recipient CRD Number o None
  Daniel T. Hoban   1095185
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mutual Service Corporation   4806
Street Address 1 Street Address 2
  1739 W. Big Beaver Road    
City State/Province/Country ZIP/Postal Code
  Troy   MI   48084
State(s) of Solicitation o All States
    AZ   CA   CO   FL   IL   IN   ME   MA   MI   NV   NC   TN   VA
 
Recipient Recipient CRD Number o None
  Howard W. Minor, Jr.   1008244
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Next Financial Group, Inc.   46214
Street Address 1 Street Address 2
  413 Stuart Circle   Suite 314
City State/Province/Country ZIP/Postal Code
  Richmond   VA   23220
State(s) of Solicitation o All States
    FL   MD   NC   VA
Recipient Recipient CRD Number o None
  Timothy L. Baker   1256333
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  121 Reynolds Village    
City State/Province/Country ZIP/Postal Code
  Winston-Salem   NC   27106
State(s) of Solicitation o All States
    AZ   CA   CO   FL   GA   IN   IA   KY   NY   NC   OH   PA   SC   TX   VA
Recipient Recipient CRD Number o None
  Kenneth R. Miller   1009775
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  701 Robley Drive   Suite 101
City State/Province/Country ZIP/Postal Code
  Lafayette   LA   70503
State(s) of Solicitation o All States
    AZ   CA   CO   LA   ME   MS   MT   NE   NY   SC   TX   VA
 
Recipient Recipient CRD Number o None
  Dennis L. Freeman   213683
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Okoboji Financial Services, Inc.   33727
Street Address 1 Street Address 2
  600 Fifth Street   Suite 102
City State/Province/Country ZIP/Postal Code
  Ames   IA   50010
State(s) of Solicitation o All States
    IA   MN
Recipient Recipient CRD Number o None
  Pacific West Securities, Inc.   6390
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Pacific West Securities, Inc.   6390
Street Address 1 Street Address 2
  555 S. Renton Village Pl   Suite 700
City State/Province/Country ZIP/Postal Code
  Renton   WA   98057
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
Recipient Recipient CRD Number o None
  QA3 Financial Corp.   14754
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  QA3 Financial Corp.   14754
Street Address 1 Street Address 2
  One Valmont Plaza, 4th Floor    
City State/Province/Country ZIP/Postal Code
  Omaha   NE   68154
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Norman G. Price   2406981
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  RP Capital LLC   134768
Street Address 1 Street Address 2
  5202 Olympic Drive NW   Suite 101
City State/Province/Country ZIP/Postal Code
  Gig Harbor   WA   98335
State(s) of Solicitation o All States
    AL   CA   FL   NV   OR   TX   WA
Recipient Recipient CRD Number o None
  Sagepoint Financial, Inc.   133763
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Sagepoint Financial, Inc.   133763
Street Address 1 Street Address 2
  2800 N. Central Ave., Ste 2100    
City State/Province/Country ZIP/Postal Code
  Phoenix   AZ   85004
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
Recipient Recipient CRD Number o None
  Gregory L. Hutto   2742911
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Silver Oak Securities, Incorporated   46947
Street Address 1 Street Address 2
  512 Main Street   Suite 1400
City State/Province/Country ZIP/Postal Code
  Forth Worth   TX   76102
State(s) of Solicitation o All States
    OH   TX   WA
 
Recipient Recipient CRD Number o None
  William E. Riley, Jr.   1493287
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Silver Oak Securities, Incorporated   46947
Street Address 1 Street Address 2
  512 Main Street   Suite 1400
City State/Province/Country ZIP/Postal Code
  Forth Worth   TX   76102
State(s) of Solicitation o All States
    TX
Recipient Recipient CRD Number o None
  John T. Dunn   2448503
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  The Strategic Financial Alliance, Inc.   126514
Street Address 1 Street Address 2
  107 Weatherstone Drive   Suite 520
City State/Province/Country ZIP/Postal Code
  Woodstock   GA   30188
State(s) of Solicitation o All States
    CA   FL   GA   IL   LA   PA   SC   VA
Recipient Recipient CRD Number o None
  VSR Financial Services, Inc.   14503
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  VSR Financial Services, Inc.   14503
Street Address 1 Street Address 2
  8620 W 110th Street   Suite 200
City State/Province/Country ZIP/Postal Code
  Overland Park   KS   66210
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Jack Thomas   2773136
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  AFA Financial Group, LLC   127648
Street Address 1 Street Address 2
  26637 W. Agoura Rd.    
City State/Province/Country ZIP/Postal Code
  Calabasas   CA   91302
State(s) of Solicitation o All States
    CA   ID
Recipient Recipient CRD Number o None
  Jeffrey Rachlin   823547
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Alternative Wealth Strategies, Inc.   130933
Street Address 1 Street Address 2
  777 Old Saw Mill River Road   Suite 240
City State/Province/Country ZIP/Postal Code
  Tarrytown   NY   10591
State(s) of Solicitation o All States
    CT   FL   HI   MD   MA   NJ   NY
Recipient Recipient CRD Number o None
  Drew A. Donohoe   4504638
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Ameritas Investment Corp.   14869
Street Address 1 Street Address 2
  8800 Lyra Drive   Suite 680
City State/Province/Country ZIP/Postal Code
  Columbus   OH   43240
State(s) of Solicitation o All States
    NV   OH   PA
 
Recipient Recipient CRD Number o None
  Thomas H. Lawrence III   1839619
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Ameritas Investment Corp.   14869
Street Address 1 Street Address 2
  1755 N. Kirby Parkway   Suite 300
City State/Province/Country ZIP/Postal Code
  Memphis   TN   38120
State(s) of Solicitation o All States
    AR   KY   MS   MO   TN
Recipient Recipient CRD Number o None
  Manuel E. Martinez   840279
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Ameritas Investment Corp.   14869
Street Address 1 Street Address 2
  325 West Third Ave.   Suite 203
City State/Province/Country ZIP/Postal Code
  Escondido   CA   92025
State(s) of Solicitation o All States
    CA   CO   FL
Recipient Recipient CRD Number o None
  James D. Howard   1777319
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Associated Securities Corp.   12969
Street Address 1 Street Address 2
  421 West Riverside , Suite 1700    
City State/Province/Country ZIP/Postal Code
  Spokane   WA   99201
State(s) of Solicitation o All States
    AZ   CA   CO   FL   ID   MN   MT   NE   NC   OR   TX   UT   WA
 
Recipient Recipient CRD Number o None
  Sheri H. Pan   4536152
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Associated Securities Corp.   12969
Street Address 1 Street Address 2
  222 N. Sepulveda Blvd.   18th Floor
City State/Province/Country ZIP/Postal Code
  El Segundo   CA   90245
State(s) of Solicitation o All States
    CA   CO
Recipient Recipient CRD Number o None
  Richard L. Belline   2432737
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Axa Advisors, LLC   6627
Street Address 1 Street Address 2
  213 W. Monroe   Suite Q
City State/Province/Country ZIP/Postal Code
  Lowell   AR   72745
State(s) of Solicitation o All States
    AR   CA   CO   FL   GA   IL   KS   LA   MO   NC   OH   OK   TN   TX
Recipient Recipient CRD Number o None
  Daniel A. Barnard   2403593
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Berthel, Fisher & Company Financial Services, Inc.   13609
Street Address 1 Street Address 2
  8563 E. San Alberto Drive   Suite 140
City State/Province/Country ZIP/Postal Code
  Scottsdale   AZ   85258
State(s) of Solicitation o All States
    AZ   CA   CO   FL   IL   IN   IA   NE   NV   VA
 
Recipient Recipient CRD Number o None
  Steven L. Stahler   1706697
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Berthel, Fisher & Company Financial Services, Inc.   13609
Street Address 1 Street Address 2
  7660 Goodwood   Suite A102
City State/Province/Country ZIP/Postal Code
  Baton Rouge   LA   70806
State(s) of Solicitation o All States
    IL   IA   LA   NC   OR   WI
Recipient Recipient CRD Number o None
  Ty K. Bauer   2150885
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Carlton & Associates, Inc.   20999
Street Address 1 Street Address 2
  1223 E. Jackson Avenue   #310
City State/Province/Country ZIP/Postal Code
  Oxford   MS   38655
State(s) of Solicitation o All States
    AL   CA   CO   CT   GA   IL   IN   LA   MS   MO   NV   NM   NY   PA   TN   TX
Recipient Recipient CRD Number o None
  Burley A. Daye   63064
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Centaurus Financial, Inc.   30833
Street Address 1 Street Address 2
  533 Airport Blvd.   Suite #219
City State/Province/Country ZIP/Postal Code
  Burlingame   CA   94010
State(s) of Solicitation o All States
    CA   NV   UT
 
Recipient Recipient CRD Number o None
  Daniel J. Stange   2693826
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  101 Main Street   Suite 260
City State/Province/Country ZIP/Postal Code
  Huntington Beach   CA   92648
State(s) of Solicitation o All States
    CA   IN   OR   TX   WA
Recipient Recipient CRD Number o None
  Joseph M. Gatt   218745
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Girard Securities, Inc.   18697
Street Address 1 Street Address 2
  1455 East Tropicana Avenue   Suite 275
City State/Province/Country ZIP/Postal Code
  Las Vegas   NV   89119
State(s) of Solicitation o All States
    CA   CO   NV   UT
Recipient Recipient CRD Number o None
  Nathan C. Ankney   2444651
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  1541 The Alameda    
City State/Province/Country ZIP/Postal Code
  San Jose   CA   95126
State(s) of Solicitation o All States
    CA   OR
 
Recipient Recipient CRD Number o None
  James B. Boyle   5570142
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  1541 The Alameda    
City State/Province/Country ZIP/Postal Code
  San Jose   CA   95126
State(s) of Solicitation o All States
    CA   OR
Recipient Recipient CRD Number o None
  David R. Koehler   4832628
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  1541 The Alameda    
City State/Province/Country ZIP/Postal Code
  San Jose   CA   95126
State(s) of Solicitation o All States
    CA   NV   OR
Recipient Recipient CRD Number o None
  Morgan B. Nickels Mr.   4921264
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mutual Service Corporation   4806
Street Address 1 Street Address 2
  2900 Bluecutt Road   Suite 1
City State/Province/Country ZIP/Postal Code
  Columbus   MS   39705
State(s) of Solicitation o All States
    AL   MS   OR
 
Recipient Recipient CRD Number o None
  Edward T. Coda   1776811
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  National Planning Corporation   29604
Street Address 1 Street Address 2
  500 Alakawa St.   Suite 220
City State/Province/Country ZIP/Postal Code
  Honolulu   HI   96817
State(s) of Solicitation o All States
    AZ   CA   CO   DE   FL   GA   HI   ID   ME   NV   NM   NY   NC   OH   TN   TX   VA   WA
Recipient Recipient CRD Number o None
  Arthur J. Moss   1409033
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  National Planning Corporation   29604
Street Address 1 Street Address 2
  7135 E. Camelback Road   Ste 230
City State/Province/Country ZIP/Postal Code
  Scottsdale   AZ   85251
State(s) of Solicitation o All States
    AZ   CA   CO   FL   ID
Recipient Recipient CRD Number o None
  Kurt C. Jackson   2913769
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  575 Price Street   Suite 314
City State/Province/Country ZIP/Postal Code
  Pismo Beach   CA   93449
State(s) of Solicitation o All States
    CA   IL   OH   OR   PA   TX   WA
 
Recipient Recipient CRD Number o None
  Thomas P. Kroehle Jr.   4388363
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  3939 Beltline Road   Suite 310
City State/Province/Country ZIP/Postal Code
  Addison   TX   75001
State(s) of Solicitation o All States
    AR   CO   DC   FL   KY   MD   MA   NY   OH   OK   TX   VA   WA
Recipient Recipient CRD Number o None
  John P. Hannan   1372033
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Private Asset Group, Inc.   142541
Street Address 1 Street Address 2
  62 E. Genesee Street   3rd Floor
City State/Province/Country ZIP/Postal Code
  Skaneateles   NY   13152
State(s) of Solicitation o All States
    CA   FL   HI   MN   NV   NJ   NM   NY   NC   TX
Recipient Recipient CRD Number o None
  Bradley J. Freimark   2883389
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Proequities, Inc.   15708
Street Address 1 Street Address 2
  9010 Quantrelle Ave NE   Suite 107
City State/Province/Country ZIP/Postal Code
  Otsego   MN   55330
State(s) of Solicitation o All States
    MD   MN   ND   VA   WI
 
Recipient Recipient CRD Number o None
  Ronald D. Hershey   4207119
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Proequities, Inc.   15708
Street Address 1 Street Address 2
  809 Center Ave.    
City State/Province/Country ZIP/Postal Code
  Payette   ID   83661
State(s) of Solicitation o All States
    AZ   CA   ID   MT   OR
Recipient Recipient CRD Number o None
  John P. Ochsner   1502183
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Royal Alliance Associates, Inc.   23131
Street Address 1 Street Address 2
  3217 West Smith Street   Suite 2
City State/Province/Country ZIP/Postal Code
  Seattle   WA   98199
State(s) of Solicitation o All States
    CA   NH   WA
Recipient Recipient CRD Number o None
  David L. Goodman   1429972
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Transam Securities, Inc.   18923
Street Address 1 Street Address 2
  1111 Douglas Avenue    
City State/Province/Country ZIP/Postal Code
  Altamonte Springs   FL   32714
State(s) of Solicitation o All States
    AZ   FL   GA   IN   NC   OH
 
Recipient Recipient CRD Number o None
  Charles C. Shafe   1277113
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Transam Securities, Inc.   18923
Street Address 1 Street Address 2
  531 Versailles Drive   Ste. 201
City State/Province/Country ZIP/Postal Code
  Maitland   FL   32751
State(s) of Solicitation o All States
    FL
Recipient Recipient CRD Number o None
  John R. Mickelson   2628700
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Woodbury Financial Services, Inc.   421
Street Address 1 Street Address 2
  40 W. Cache Valley Blvd.   Suite 7A
City State/Province/Country ZIP/Postal Code
  Logan   UT   84341
State(s) of Solicitation o All States
    CA   ID   IA   UT
Recipient Recipient CRD Number o None
  Michael J. Talin   3121059
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Woodbury Financial Services, Inc.   421
Street Address 1 Street Address 2
  3020 Old Ranch Parkway   Ste. 300
City State/Province/Country ZIP/Postal Code
  Seal Beach   CA   90740
State(s) of Solicitation o All States
    AZ   CA   CT   MI   NV   WI
 
Recipient Recipient CRD Number o None
  FSC Securities Corporation   7461
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  FSA Securities Corporation   7461
Street Address 1 Street Address 2
  2300 Windy Ridge Pkwy   Suite 1100
City State/Province/Country ZIP/Postal Code
  Atlanta   GA   30339
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
Recipient Recipient CRD Number o None
  Alex M. Negron   3187717
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Proequities Inc.   15708
Street Address 1 Street Address 2
  1400 W. Fairbanks Ave.   Ste. 202
City State/Province/Country ZIP/Postal Code
  Winter Park   FL   32789
State(s) of Solicitation o All States
    FL
Recipient Recipient CRD Number o None
  Robert A. Horning   2311640
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Direct Capital Securities, Inc.   29639
Street Address 1 Street Address 2
  3 MacArthur Pl.   Ste. 855
City State/Province/Country ZIP/Postal Code
  Santa Ana   CA   92707
State(s) of Solicitation o All States
    CA
 



13. Offering and Sales Amounts
Total Offering Amount $   35000000   USD o Indefinite
Total Amount Sold $   17123859   USD  
Total Remaining to be Sold $   17876141   USD o Indefinite
 
Clarification of Response (if Necessary)
   


14. Investors
o Select 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: 260


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 $   2975000   USD x Estimate
Finders' Fees $   0   USD o Estimate
 
Clarification of Response (if Necessary)
   


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.
  $   1400000   USD x Estimate
 
Clarification of Response (if Necessary)
   
 

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 the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above for one of the reasons stated in Rule 505(b)(2)(iii).
 
 
  Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
  For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Cypress Equipment Fund 16, LLC /s/ DANIEL RAEL Daniel Rael Vice President of Manager of Issuer 2009-08-03


 
New Post 10/25/2009 5:46 PM
  PrivatePlacement
623 posts
5th Level Poster


Re: Cypress Income Funds 1-9 


 
 
 

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

FORM D

OMB APPROVAL
OMB Number: 3235-0076
Expires: September 30, 2008
Estimated Average burden hours per response: 4.0
Notice of Exempt Offering of Securities


 
1. Issuer's Identity
CIK (Filer ID Number) Previous Name(s)   x None Entity Type
0001451787
 
o Corporation
o Limited Partnership
x Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
  Cypress Equipment Fund 16, LLC
Jurisdiction of Incorporation/Organization
CALIFORNIA
 
Year of Incorporation/Organization
  o Over Five Years Ago
  x Within Last Five Years (Specify Year) 2008
  o Yet to Be Formed  



2. Principal Place of Business and Contact Information
Name of Issuer  
  Cypress Equipment Fund 16, LLC  
Street Address 1 Street Address 2
  188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code Phone No. of Issuer
  San Francisco   CA   94105   415-281-3020  


 

3. Related Persons
Last Name First Name Middle Name
Harwood Stephen Rogers
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer x Director x Promoter
Clarification of Response (if Necessary)
  Officer and Director of LLC Manager
Last Name First Name Middle Name
Cypress Equipment Management Corp IV NA  
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer o Director x Promoter
Clarification of Response (if Necessary)
  LLC Manager
Last Name First Name Middle Name
Park Kenneth  
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  Officer of LLC Manager
Last Name First Name Middle Name
Rael Daniel  
Street Address 1 Street Address 2
188 The Embarcadero, Suite 420  
City State/Province/Country ZIP/Postal Code
San Francisco CA 94105
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  Officer of LLC Manager
 


4. Industry Group
o Agriculture   Health Care o Retailing
  Banking & Financial Services   o Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance   Technology
  o Insurance   o Hospitals & Physicians   o Computers
  o Investing   o Pharmaceuticals   o Telecommunications
  o Investment Banking   o Other Health Care   o Other Technology
  o Pooled Investment Fund
        Travel
  x Other Banking & Financial Services o Manufacturing   o Airlines & Airports
  Real Estate   o Lodging & Conventions
  o Commercial   o Tourism & Travel Services
  o Construction   o Other Travel
  o REITS & Finance o Other
  o Residential  
  o Other Real Estate  
o Business Services  
  Energy  
  o Coal Mining  
  o Electric Utilities  
  o Energy Conservation  
  o Environmental Services  
  o Oil & Gas  
  o Other Energy  


5. Issuer Size
Revenue Range Aggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable
 


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506
o Rule 504 (b)(1)(ii) o Securities Act Section 4(6)
o Rule 504 (b)(1)(iii) o Investment Company Act Section 3(c)

7. Type of Filing
o New Notice Date of First Sale   2009-01-07 o First Sale Yet to Occur
x Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? x Yes o No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests x Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities o Option, Warrant or Other Right to Acquire Another Security
o Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
   


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary)  
   

11. Minimum Investment
Minimum investment accepted from any outside investor $   35000   USD
 

12. Sales Compensation
Recipient Recipient CRD Number o None
  Cypress Capital Corporation   42681
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Cypress Capital Corporation   42681
Street Address 1 Street Address 2
  188 The Embarcader, Suite 420    
City State/Province/Country ZIP/Postal Code
  San Francisco   CA   94105
State(s) of Solicitation o All States
    AZ   AR   CA   CO   CT   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   MD   MA   MI   MN   MO   NE   NV   NJ   NY   NC   OH   OR   PA   SC   TN   TX   UT   VT   VA   WA   WI
Recipient Recipient CRD Number o None
  Michael L. Staines, Jr.   5303142
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Berthel, Fisher and Company Financial Services, Inc.   13609
Street Address 1 Street Address 2
  300 Harding Blvd.   Suite 209
City State/Province/Country ZIP/Postal Code
  Roseville   CA   95678
State(s) of Solicitation o All States
    AZ   CA   NJ   NY   PA   TX
Recipient Recipient CRD Number o None
  Zachary L. Carey   3110546
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Calton and Associates, Inc.   20999
Street Address 1 Street Address 2
  1223 E. Jackson Ave.   Suite 301
City State/Province/Country ZIP/Postal Code
  Oxford   MS   38655
State(s) of Solicitation o All States
    AL   AR   FL   GA   KY   LA   MS   TN   TX   VA
 
Recipient Recipient CRD Number o None
  Oliver B. Williamson   4642029
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Calton and Associates, Inc.   20999
Street Address 1 Street Address 2
  611 Hambley Blvd.    
City State/Province/Country ZIP/Postal Code
  Pikeville   KY   41501
State(s) of Solicitation o All States
    FL   IN   KY   MA   NY   NC   OH   SC   TN   VA
Recipient Recipient CRD Number o None
  Phillip D. King   1839137
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Calton and Associates, Inc.   20999
Street Address 1 Street Address 2
  611 Hambley Blvd.    
City State/Province/Country ZIP/Postal Code
  Pikeville   KY   41501
State(s) of Solicitation o All States
    CA   FL   GA   IN   KY   MI   NC   OH   SC   TN   VA
Recipient Recipient CRD Number o None
  Maryellen Trotter   862519
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Centaurus Financial, Inc.   30833
Street Address 1 Street Address 2
  1515 E. Cedar Avenue   Suite C5
City State/Province/Country ZIP/Postal Code
  Flagstaff   AZ   86004
State(s) of Solicitation o All States
    AZ   CA   CO   FL   GA   MS   NV   NM   PA
 
Recipient Recipient CRD Number o None
  Bryan D. Myers   2527480
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Chapin, Davis   28116
Street Address 1 Street Address 2
  2 Village Square, Suite 200    
City State/Province/Country ZIP/Postal Code
  Baltimore   MD   21210
State(s) of Solicitation o All States
    MD   VA
Recipient Recipient CRD Number o None
  Edward W. Grogan IV   2344994
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Commonwealth Financial Network   8032
Street Address 1 Street Address 2
  6625 Wagner Way NW   Suite 320
City State/Province/Country ZIP/Postal Code
  Gig Harbor   WA   98335
State(s) of Solicitation o All States
    AK   AZ   CA   CO   CT   DC   FL   HI   ID   KY   MD   MI   MN   MT   NE   NH   NY   OR   SC   TX   WA   WI
Recipient Recipient CRD Number o None
  Robert E. Leib   1267444
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Commonwealth Financial Network   8032
Street Address 1 Street Address 2
  101 West Elm Street   Suite 500
City State/Province/Country ZIP/Postal Code
  Conshohocken   PA   19428
State(s) of Solicitation o All States
    CA   DE   FL   IL   MD   NJ   NY   NC   PA   VA
 
Recipient Recipient CRD Number o None
  Joseph L. England   2934344
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Commonwealth Financial Network   8032
Street Address 1 Street Address 2
  101 West Elm Street   Suite 500
City State/Province/Country ZIP/Postal Code
  Conshohocken   PA   19428
State(s) of Solicitation o All States
    DE   IN   NJ   PA
Recipient Recipient CRD Number o None
  Stephen A. Catania   2389489
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  725 Town and Country Road   Suite 530
City State/Province/Country ZIP/Postal Code
  Orange   CA   92868
State(s) of Solicitation o All States
    GA   IL   TN   VA
Recipient Recipient CRD Number o None
  Melissa C. Mather   4697533
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  1756 Grain Mill Road    
City State/Province/Country ZIP/Postal Code
  San Marcos   CA   92078
State(s) of Solicitation o All States
    CA
 
Recipient Recipient CRD Number o None
  David B. McMillen   1198070
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  106 Pineview Lane    
City State/Province/Country ZIP/Postal Code
  Boulder   CO   80302
State(s) of Solicitation o All States
    CA   CO   ID   OR
Recipient Recipient CRD Number o None
  David A. Harris   500413
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  David Harris and Co., Inc.   45670
Street Address 1 Street Address 2
  222 Mamaroneck Avenue    
City State/Province/Country ZIP/Postal Code
  White Plains   NY   10605
State(s) of Solicitation o All States
    AZ   CA   CT   FL   HI   IL   ME   MD   MI   NJ   NY   NC   VA
Recipient Recipient CRD Number o None
  Donald G. Dewaay Jr.   1297174
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Dewaay Financial Network, LLC   30767
Street Address 1 Street Address 2
  13001 University Avenue    
City State/Province/Country ZIP/Postal Code
  Clive   IA   50325
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   MA   MI   MN   MO   MT   NE   NV   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Joshua E. Cross   4522751
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Dewaay Financial Network, LLC   30767
Street Address 1 Street Address 2
  13001 University Avenue    
City State/Province/Country ZIP/Postal Code
  Clive   IA   50325
State(s) of Solicitation o All States
    AL   AZ   FL   HI   IL   IA   KS   KY   MA   MN   MO   NE   NV   NC   OH   TX   WA   WI
Recipient Recipient CRD Number o None
  Michael D. Morrow   2364423
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Dewaay Financial Network, LLC   30767
Street Address 1 Street Address 2
  402 N. Carroll Ave., Suite 100    
City State/Province/Country ZIP/Postal Code
  Southlake   TX   76092
State(s) of Solicitation o All States
    IL   OK   TX
Recipient Recipient CRD Number o None
  H. Beck, Inc.   1763
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  H. Beck, Inc.   1763
Street Address 1 Street Address 2
  11140 Rockville Pike   Suite 400
City State/Province/Country ZIP/Postal Code
  Rockville   MD   20852
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Robert J. Steyert   1122075
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  30448 Rancho Viejo Road, No. 175    
City State/Province/Country ZIP/Postal Code
  San Juan Capistrano   CA   92675
State(s) of Solicitation o All States
    CA   FL   NJ   NY   UT   WA
Recipient Recipient CRD Number o None
  Lora J. Hoff   3175071
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Investment Planners, Inc.   18557
Street Address 1 Street Address 2
  10440 N. Central Expressway   Suite 1040
City State/Province/Country ZIP/Postal Code
  Dallas   TX   75231
State(s) of Solicitation o All States
    IA   MN   MO   OK   TX
Recipient Recipient CRD Number o None
  LPL Financial Corporation   6413
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  LPL Financial Corporation   6413
Street Address 1 Street Address 2
  One Beacon Street   22nd Floor
City State/Province/Country ZIP/Postal Code
  Boston   MA   02108
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Thomas J. Birch   805540
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mid Atlantic Capital Corporation   10674
Street Address 1 Street Address 2
  1683 Novato Blvd.   Suite 2
City State/Province/Country ZIP/Postal Code
  Novato   CA   94949
State(s) of Solicitation o All States
    AZ   CA   GA   ID   MO   OR
Recipient Recipient CRD Number o None
  Leroy H. Nickels III   813787
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mutual Service Corporation   4806
Street Address 1 Street Address 2
  2900 Bluecutt Road   Suite 1
City State/Province/Country ZIP/Postal Code
  Columbus   MS   39705
State(s) of Solicitation o All States
    AL   AR   CA   CO   FL   GA   ID   IL   LA   MD   MS   NC   OR   TN   TX
Recipient Recipient CRD Number o None
  Daniel T. Hoban   1095185
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mutual Service Corporation   4806
Street Address 1 Street Address 2
  1739 W. Big Beaver Road    
City State/Province/Country ZIP/Postal Code
  Troy   MI   48084
State(s) of Solicitation o All States
    AZ   CA   CO   FL   IL   IN   ME   MA   MI   NV   NC   TN   VA
 
Recipient Recipient CRD Number o None
  Howard W. Minor, Jr.   1008244
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Next Financial Group, Inc.   46214
Street Address 1 Street Address 2
  413 Stuart Circle   Suite 314
City State/Province/Country ZIP/Postal Code
  Richmond   VA   23220
State(s) of Solicitation o All States
    FL   MD   NC   VA
Recipient Recipient CRD Number o None
  Timothy L. Baker   1256333
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  121 Reynolds Village    
City State/Province/Country ZIP/Postal Code
  Winston-Salem   NC   27106
State(s) of Solicitation o All States
    AZ   CA   CO   FL   GA   IN   IA   KY   NY   NC   OH   PA   SC   TX   VA
Recipient Recipient CRD Number o None
  Kenneth R. Miller   1009775
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  701 Robley Drive   Suite 101
City State/Province/Country ZIP/Postal Code
  Lafayette   LA   70503
State(s) of Solicitation o All States
    AZ   CA   CO   LA   ME   MS   MT   NE   NY   SC   TX   VA
 
Recipient Recipient CRD Number o None
  Dennis L. Freeman   213683
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Okoboji Financial Services, Inc.   33727
Street Address 1 Street Address 2
  600 Fifth Street   Suite 102
City State/Province/Country ZIP/Postal Code
  Ames   IA   50010
State(s) of Solicitation o All States
    IA   MN
Recipient Recipient CRD Number o None
  Pacific West Securities, Inc.   6390
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Pacific West Securities, Inc.   6390
Street Address 1 Street Address 2
  555 S. Renton Village Pl   Suite 700
City State/Province/Country ZIP/Postal Code
  Renton   WA   98057
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
Recipient Recipient CRD Number o None
  QA3 Financial Corp.   14754
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  QA3 Financial Corp.   14754
Street Address 1 Street Address 2
  One Valmont Plaza, 4th Floor    
City State/Province/Country ZIP/Postal Code
  Omaha   NE   68154
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Norman G. Price   2406981
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  RP Capital LLC   134768
Street Address 1 Street Address 2
  5202 Olympic Drive NW   Suite 101
City State/Province/Country ZIP/Postal Code
  Gig Harbor   WA   98335
State(s) of Solicitation o All States
    AL   CA   FL   NV   OR   TX   WA
Recipient Recipient CRD Number o None
  Sagepoint Financial, Inc.   133763
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Sagepoint Financial, Inc.   133763
Street Address 1 Street Address 2
  2800 N. Central Ave., Ste 2100    
City State/Province/Country ZIP/Postal Code
  Phoenix   AZ   85004
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
Recipient Recipient CRD Number o None
  Gregory L. Hutto   2742911
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Silver Oak Securities, Incorporated   46947
Street Address 1 Street Address 2
  512 Main Street   Suite 1400
City State/Province/Country ZIP/Postal Code
  Forth Worth   TX   76102
State(s) of Solicitation o All States
    OH   TX   WA
 
Recipient Recipient CRD Number o None
  William E. Riley, Jr.   1493287
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Silver Oak Securities, Incorporated   46947
Street Address 1 Street Address 2
  512 Main Street   Suite 1400
City State/Province/Country ZIP/Postal Code
  Forth Worth   TX   76102
State(s) of Solicitation o All States
    TX
Recipient Recipient CRD Number o None
  John T. Dunn   2448503
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  The Strategic Financial Alliance, Inc.   126514
Street Address 1 Street Address 2
  107 Weatherstone Drive   Suite 520
City State/Province/Country ZIP/Postal Code
  Woodstock   GA   30188
State(s) of Solicitation o All States
    CA   FL   GA   IL   LA   PA   SC   VA
Recipient Recipient CRD Number o None
  VSR Financial Services, Inc.   14503
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  VSR Financial Services, Inc.   14503
Street Address 1 Street Address 2
  8620 W 110th Street   Suite 200
City State/Province/Country ZIP/Postal Code
  Overland Park   KS   66210
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
 
Recipient Recipient CRD Number o None
  Jack Thomas   2773136
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  AFA Financial Group, LLC   127648
Street Address 1 Street Address 2
  26637 W. Agoura Rd.    
City State/Province/Country ZIP/Postal Code
  Calabasas   CA   91302
State(s) of Solicitation o All States
    CA   ID
Recipient Recipient CRD Number o None
  Jeffrey Rachlin   823547
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Alternative Wealth Strategies, Inc.   130933
Street Address 1 Street Address 2
  777 Old Saw Mill River Road   Suite 240
City State/Province/Country ZIP/Postal Code
  Tarrytown   NY   10591
State(s) of Solicitation o All States
    CT   FL   HI   MD   MA   NJ   NY
Recipient Recipient CRD Number o None
  Drew A. Donohoe   4504638
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Ameritas Investment Corp.   14869
Street Address 1 Street Address 2
  8800 Lyra Drive   Suite 680
City State/Province/Country ZIP/Postal Code
  Columbus   OH   43240
State(s) of Solicitation o All States
    NV   OH   PA
 
Recipient Recipient CRD Number o None
  Thomas H. Lawrence III   1839619
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Ameritas Investment Corp.   14869
Street Address 1 Street Address 2
  1755 N. Kirby Parkway   Suite 300
City State/Province/Country ZIP/Postal Code
  Memphis   TN   38120
State(s) of Solicitation o All States
    AR   KY   MS   MO   TN
Recipient Recipient CRD Number o None
  Manuel E. Martinez   840279
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Ameritas Investment Corp.   14869
Street Address 1 Street Address 2
  325 West Third Ave.   Suite 203
City State/Province/Country ZIP/Postal Code
  Escondido   CA   92025
State(s) of Solicitation o All States
    CA   CO   FL
Recipient Recipient CRD Number o None
  James D. Howard   1777319
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Associated Securities Corp.   12969
Street Address 1 Street Address 2
  421 West Riverside , Suite 1700    
City State/Province/Country ZIP/Postal Code
  Spokane   WA   99201
State(s) of Solicitation o All States
    AZ   CA   CO   FL   ID   MN   MT   NE   NC   OR   TX   UT   WA
 
Recipient Recipient CRD Number o None
  Sheri H. Pan   4536152
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Associated Securities Corp.   12969
Street Address 1 Street Address 2
  222 N. Sepulveda Blvd.   18th Floor
City State/Province/Country ZIP/Postal Code
  El Segundo   CA   90245
State(s) of Solicitation o All States
    CA   CO
Recipient Recipient CRD Number o None
  Richard L. Belline   2432737
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Axa Advisors, LLC   6627
Street Address 1 Street Address 2
  213 W. Monroe   Suite Q
City State/Province/Country ZIP/Postal Code
  Lowell   AR   72745
State(s) of Solicitation o All States
    AR   CA   CO   FL   GA   IL   KS   LA   MO   NC   OH   OK   TN   TX
Recipient Recipient CRD Number o None
  Daniel A. Barnard   2403593
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Berthel, Fisher & Company Financial Services, Inc.   13609
Street Address 1 Street Address 2
  8563 E. San Alberto Drive   Suite 140
City State/Province/Country ZIP/Postal Code
  Scottsdale   AZ   85258
State(s) of Solicitation o All States
    AZ   CA   CO   FL   IL   IN   IA   NE   NV   VA
 
Recipient Recipient CRD Number o None
  Steven L. Stahler   1706697
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Berthel, Fisher & Company Financial Services, Inc.   13609
Street Address 1 Street Address 2
  7660 Goodwood   Suite A102
City State/Province/Country ZIP/Postal Code
  Baton Rouge   LA   70806
State(s) of Solicitation o All States
    IL   IA   LA   NC   OR   WI
Recipient Recipient CRD Number o None
  Ty K. Bauer   2150885
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Carlton & Associates, Inc.   20999
Street Address 1 Street Address 2
  1223 E. Jackson Avenue   #310
City State/Province/Country ZIP/Postal Code
  Oxford   MS   38655
State(s) of Solicitation o All States
    AL   CA   CO   CT   GA   IL   IN   LA   MS   MO   NV   NM   NY   PA   TN   TX
Recipient Recipient CRD Number o None
  Burley A. Daye   63064
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Centaurus Financial, Inc.   30833
Street Address 1 Street Address 2
  533 Airport Blvd.   Suite #219
City State/Province/Country ZIP/Postal Code
  Burlingame   CA   94010
State(s) of Solicitation o All States
    CA   NV   UT
 
Recipient Recipient CRD Number o None
  Daniel J. Stange   2693826
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Crown Capital Securities, L.P.   6312
Street Address 1 Street Address 2
  101 Main Street   Suite 260
City State/Province/Country ZIP/Postal Code
  Huntington Beach   CA   92648
State(s) of Solicitation o All States
    CA   IN   OR   TX   WA
Recipient Recipient CRD Number o None
  Joseph M. Gatt   218745
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Girard Securities, Inc.   18697
Street Address 1 Street Address 2
  1455 East Tropicana Avenue   Suite 275
City State/Province/Country ZIP/Postal Code
  Las Vegas   NV   89119
State(s) of Solicitation o All States
    CA   CO   NV   UT
Recipient Recipient CRD Number o None
  Nathan C. Ankney   2444651
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  1541 The Alameda    
City State/Province/Country ZIP/Postal Code
  San Jose   CA   95126
State(s) of Solicitation o All States
    CA   OR
 
Recipient Recipient CRD Number o None
  James B. Boyle   5570142
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  1541 The Alameda    
City State/Province/Country ZIP/Postal Code
  San Jose   CA   95126
State(s) of Solicitation o All States
    CA   OR
Recipient Recipient CRD Number o None
  David R. Koehler   4832628
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Independent Financial Group, LLC   7717
Street Address 1 Street Address 2
  1541 The Alameda    
City State/Province/Country ZIP/Postal Code
  San Jose   CA   95126
State(s) of Solicitation o All States
    CA   NV   OR
Recipient Recipient CRD Number o None
  Morgan B. Nickels Mr.   4921264
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Mutual Service Corporation   4806
Street Address 1 Street Address 2
  2900 Bluecutt Road   Suite 1
City State/Province/Country ZIP/Postal Code
  Columbus   MS   39705
State(s) of Solicitation o All States
    AL   MS   OR
 
Recipient Recipient CRD Number o None
  Edward T. Coda   1776811
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  National Planning Corporation   29604
Street Address 1 Street Address 2
  500 Alakawa St.   Suite 220
City State/Province/Country ZIP/Postal Code
  Honolulu   HI   96817
State(s) of Solicitation o All States
    AZ   CA   CO   DE   FL   GA   HI   ID   ME   NV   NM   NY   NC   OH   TN   TX   VA   WA
Recipient Recipient CRD Number o None
  Arthur J. Moss   1409033
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  National Planning Corporation   29604
Street Address 1 Street Address 2
  7135 E. Camelback Road   Ste 230
City State/Province/Country ZIP/Postal Code
  Scottsdale   AZ   85251
State(s) of Solicitation o All States
    AZ   CA   CO   FL   ID
Recipient Recipient CRD Number o None
  Kurt C. Jackson   2913769
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  575 Price Street   Suite 314
City State/Province/Country ZIP/Postal Code
  Pismo Beach   CA   93449
State(s) of Solicitation o All States
    CA   IL   OH   OR   PA   TX   WA
 
Recipient Recipient CRD Number o None
  Thomas P. Kroehle Jr.   4388363
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  NFP Securities, Inc.   42046
Street Address 1 Street Address 2
  3939 Beltline Road   Suite 310
City State/Province/Country ZIP/Postal Code
  Addison   TX   75001
State(s) of Solicitation o All States
    AR   CO   DC   FL   KY   MD   MA   NY   OH   OK   TX   VA   WA
Recipient Recipient CRD Number o None
  John P. Hannan   1372033
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Private Asset Group, Inc.   142541
Street Address 1 Street Address 2
  62 E. Genesee Street   3rd Floor
City State/Province/Country ZIP/Postal Code
  Skaneateles   NY   13152
State(s) of Solicitation o All States
    CA   FL   HI   MN   NV   NJ   NM   NY   NC   TX
Recipient Recipient CRD Number o None
  Bradley J. Freimark   2883389
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Proequities, Inc.   15708
Street Address 1 Street Address 2
  9010 Quantrelle Ave NE   Suite 107
City State/Province/Country ZIP/Postal Code
  Otsego   MN   55330
State(s) of Solicitation o All States
    MD   MN   ND   VA   WI
 
Recipient Recipient CRD Number o None
  Ronald D. Hershey   4207119
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Proequities, Inc.   15708
Street Address 1 Street Address 2
  809 Center Ave.    
City State/Province/Country ZIP/Postal Code
  Payette   ID   83661
State(s) of Solicitation o All States
    AZ   CA   ID   MT   OR
Recipient Recipient CRD Number o None
  John P. Ochsner   1502183
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Royal Alliance Associates, Inc.   23131
Street Address 1 Street Address 2
  3217 West Smith Street   Suite 2
City State/Province/Country ZIP/Postal Code
  Seattle   WA   98199
State(s) of Solicitation o All States
    CA   NH   WA
Recipient Recipient CRD Number o None
  David L. Goodman   1429972
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Transam Securities, Inc.   18923
Street Address 1 Street Address 2
  1111 Douglas Avenue    
City State/Province/Country ZIP/Postal Code
  Altamonte Springs   FL   32714
State(s) of Solicitation o All States
    AZ   FL   GA   IN   NC   OH
 
Recipient Recipient CRD Number o None
  Charles C. Shafe   1277113
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Transam Securities, Inc.   18923
Street Address 1 Street Address 2
  531 Versailles Drive   Ste. 201
City State/Province/Country ZIP/Postal Code
  Maitland   FL   32751
State(s) of Solicitation o All States
    FL
Recipient Recipient CRD Number o None
  John R. Mickelson   2628700
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Woodbury Financial Services, Inc.   421
Street Address 1 Street Address 2
  40 W. Cache Valley Blvd.   Suite 7A
City State/Province/Country ZIP/Postal Code
  Logan   UT   84341
State(s) of Solicitation o All States
    CA   ID   IA   UT
Recipient Recipient CRD Number o None
  Michael J. Talin   3121059
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Woodbury Financial Services, Inc.   421
Street Address 1 Street Address 2
  3020 Old Ranch Parkway   Ste. 300
City State/Province/Country ZIP/Postal Code
  Seal Beach   CA   90740
State(s) of Solicitation o All States
    AZ   CA   CT   MI   NV   WI
 
Recipient Recipient CRD Number o None
  FSC Securities Corporation   7461
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  FSA Securities Corporation   7461
Street Address 1 Street Address 2
  2300 Windy Ridge Pkwy   Suite 1100
City State/Province/Country ZIP/Postal Code
  Atlanta   GA   30339
State(s) of Solicitation o All States
    AL   AK   AZ   AR   CA   CO   CT   DE   DC   FL   GA   HI   ID   IL   IN   IA   KS   KY   LA   ME   MD   MA   MI   MN   MS   MO   MT   NE   NV   NH   NJ   NM   NY   NC   ND   OH   OK   OR   PA   SC   SD   TN   TX   UT   VT   VA   WA   WI   WY
Recipient Recipient CRD Number o None
  Alex M. Negron   3187717
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Proequities Inc.   15708
Street Address 1 Street Address 2
  1400 W. Fairbanks Ave.   Ste. 202
City State/Province/Country ZIP/Postal Code
  Winter Park   FL   32789
State(s) of Solicitation o All States
    FL
Recipient Recipient CRD Number o None
  Robert A. Horning   2311640
(Associated) Broker or Dealer o None (Associated) Broker or Dealer CRD Number o None
  Direct Capital Securities, Inc.   29639
Street Address 1 Street Address 2
  3 MacArthur Pl.   Ste. 855
City State/Province/Country ZIP/Postal Code
  Santa Ana   CA   92707
State(s) of Solicitation o All States
    CA
 



13. Offering and Sales Amounts
Total Offering Amount $   35000000   USD o Indefinite
Total Amount Sold $   17123859   USD  
Total Remaining to be Sold $   17876141   USD o Indefinite
 
Clarification of Response (if Necessary)
   


14. Investors
o Select 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: 260


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 $   2975000   USD x Estimate
Finders' Fees $   0   USD o Estimate
 
Clarification of Response (if Necessary)
   


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.
  $   1400000   USD x Estimate
 
Clarification of Response (if Necessary)
   
 

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 the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above for one of the reasons stated in Rule 505(b)(2)(iii).
 
 
  Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
  For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Cypress Equipment Fund 16, LLC /s/ DANIEL RAEL Daniel Rael Vice President of Manager of Issuer 2009-08-03


 
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