Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
HALES CAPITAL SECURITIES
104415
NONE
NONE
DOWLING HALES SECURITIES, LLC
104415
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2012-12-26
D
$500,000.00
No
$0.00
No
2011-02-17
D
$0.00
No
$0.00
No
HALES CAPITAL SECURITIES WILL RECEIVE 3% OF THE VALUE OF THE TOTAL OUTSTANDING COMMON UNITS OF THE ISSUER UPON THE ISSUER-S SALE, MERGER OR DIVESTITURE.