Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

WACHOVIA INSURANCE SERVICES BROKER DEALER, INC
35419
GERALD I APPLEFIELD
1022428
GERALD I. APPLEFIELD
1022428
M HOLDINGS SECURITIES, INC.
43285
M HOLDINGS SECURITIES, INC.
43285
GERALD I APPLEFIELD
1022428
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-23
D/A
$50,597,483.00
Yes
$0.00
No
2026-01-30
D
$24,300.00
No
$0.00
No
ISSUER PAYS SALES COMMISSIONS EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER. AXCELUS FINANCIAL WILL ALSO PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2025-02-20
D/A
$49,359,849.00
Yes
$0.00
No
2024-02-13
D/A
$48,438,220.00
Yes
$0.00
No
2023-04-18
D/A
$2,402.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2023-01-06
D/A
$47,310,404.00
Yes
$0.00
No
2022-09-29
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2022-04-19
D/A
$1,259.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2022-04-14
D/A
$1,134.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2021-08-23
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2021-08-12
D
$2,124.00
No
$0.00
No
ISSUER PAYS A SALES COMMISSION EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER. LILAC WILL ALSO PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2021-01-04
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2020-12-23
D/A
$60,000,000.00
No
$0.00
No
2020-08-10
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2020-06-30
D/A
$197,829.00
No
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF THE PREMIUM RECEIVED BY THE ISSUER. LILAC WILL ALSO PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2020-06-22
D
$45,000.00
No
$0.00
No
ISSUER PAYS A SALES COMMISSION WHICH IS EQUAL TO A PERCENTAGE OF THE PREMIUM RECEIVED BY THE ISSUER. LILAC WILL ALSO PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-12-23
D
$195,000.00
No
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF THE PREMIUM RECEIVED BY THE ISSUER. LILAC WILL ALSO PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-12-20
D/A
$60,000,000.00
No
$0.00
No
2018-12-19
D/A
$60,000,000.00
No
$0.00
No
2017-12-20
D/A
$60,000,000.00
No
$0.00
No
2016-12-19
D/A
$60,000,000.00
No
$0.00
No
2015-12-09
D/A
$500,000,000.00
No
$0.00
No
2014-12-15
D/A
$45,000,000.00
Yes
$0.00
No
2013-12-13
D/A
$45,000,000.00
Yes
$0.00
No
2012-12-19
D/A
$45,000,000.00
Yes
$0.00
No
2011-12-02
D/A
$45,000,000.00
Yes
$0.00
No
2010-11-29
D/A
$40,000,000.00
Yes
$0.00
No
2010-07-29
D/A
$40,000,000.00
Yes
$0.00
No
2009-11-27
D/A
$40,000,000.00
Yes
$0.00
No