Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
18487
STEPHEN K. DAVIS
1015132
AMERICAN PORTFOLIOS FINANCIAL SERVICES INC.
18487
STEPHEN K. DAVIS
1015132
ASSOCIATED BROKER
124787
STEPHEN KENT DAVIS
1015132
SAFE HARBOR ASSET MANAGEMENT, INC.
124787
STEPHEN DAVIS
1015132
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-03-06
D/A
$7,916,719.00
No
$0.00
No
TOTAL COMMISSIONS AND FEES THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS PAID.
2022-04-22
D
$7,916,719.00
No
$0.00
No
TOTAL COMMISSIONS AND FEES THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS PAID.
2022-04-14
D/A
$254,550.00
No
$0.00
No
NO SALES COMMISSIONS ARE PAID TO CLEARVIEW TRADING ADVISORS, INC., HOWEVER THEY WILL RECEIVE A PLACEMENT FEE OF 0.10% OF THE AGGREGATE PURCHASE PRICE OF THE INTERESTS, AND A $5,000 MONTHLY ADVISORY FEE.
2016-11-18
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-10-11
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-02-05
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-12-14
D
$607,000.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS AND ALLOWANCES FOR MARKETING.
2014-12-10
D/A
$536,375.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, ALLOWANCES FOR MARKETING AND DUE DILIGENCE EXPENSES.
2014-05-16
D/A
$447,756.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2014-02-19
D/A
$709,350.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2014-01-28
D/A
$1,299,717.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-12-24
D/A
$447,756.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-12-09
D/A
$447,756.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-12-09
D/A
$709,350.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-11-26
D
$447,756.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-11-05
D/A
$709,350.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-07-18
D/A
$1,299,717.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-07-02
D/A
$1,299,717.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-06-19
D/A
$1,299,717.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-06-04
D/A
$1,299,717.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-08-23
D/A
$812,380.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-07-24
D/A
$812,380.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.