Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
AW SECURITIES
103747
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-03-10
D/A
$2,425,041.00
No
$0.00
No
MAXIMUM AMOUNT OF SELLING COMMISSIONS INCLUDES THE MAXIMUM AMOUNT OF ESTIMATED DEALER MANAGER FEES.
2022-01-20
D/A
$2,425,041.00
No
$0.00
No
MAXIMUM AMOUNT OF SELLING COMMISSIONS INCLUDES THE MAXIMUM AMOUNT OF ESTIMATED DEALER MANAGER FEES.
2021-02-02
D/A
$3,075,000.00
Yes
$0.00
No
MAXIMUM AMOUNT OF SELLING COMMISSIONS INCLUDES THE MAXIMUM AMOUNT OF ESTIMATED DEALER MANAGER FEES.
2021-01-21
D/A
$8,750,000.00
No
$0.00
No
MAXIMUM AMOUNT OF SELLING COMMISSIONS INCLUDES THE MAXIMUM AMOUNT OF ESTIMATED DEALER MANAGER FEES.