Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SAGEPOINT FINANCIAL INC.
133763
KENNETH C. CARRICO
1021435
SAGEPOINT FINANCIAL, INC.
133763
KENNETH C. CARRICO
1021435
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-10-03
D/A
$2,742,925.00
Yes
$0.00
No
2017-08-11
D/A
$2,742,925.00
Yes
$0.00
No
2017-08-01
D/A
$2,742,925.00
Yes
$0.00
No
2017-07-13
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-27
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-19
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-06
D/A
$2,742,925.00
Yes
$0.00
No
2017-05-23
D/A
$2,742,925.00
Yes
$0.00
No
2017-05-17
D/A
$2,742,925.00
Yes
$0.00
No
2017-05-04
D/A
$2,742,925.00
Yes
$0.00
No
2017-04-24
D/A
$2,742,925.00
Yes
$0.00
No
2017-04-11
D/A
$2,742,925.00
Yes
$0.00
No
2017-03-30
D/A
$2,742,925.00
Yes
$0.00
No
2016-03-11
D/A
$2,318,333.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.