Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ROBERT R. TAPPING
1067638
BRAZOS SECURITIES, INC
21624
BRAZOS SECURITIES, INC.
21624
ROBERT RYBURN TOPPING
1067638
BRAZOS SECURITIES, INC.
21624
ROBERT RYBUM TOPPING
1067638
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-10-01
D/A
$189,000.00
Yes
$21,000.00
Yes
MR. TOPPING WILL RECEIVE FINDER-S FEES FOR REFERRING THE ISSUER TO CAROLINA FINANCIAL SECURITIES. HE IS NOT SOLICITING OR EFFECTING TRANSACTIONS WITH INVESTORS.
2019-07-30
D
$189,000.00
Yes
$21,000.00
Yes
MR. TOPPING WILL RECEIVE FINDER?S FEES FOR REFERRING THE ISSUER TO CAROLINA FINANCIAL SECURITIES. HE IS NOT SOLICITING OR EFFECTING TRANSACTIONS WITH INVESTORS.
2018-11-19
D/A
$0.00
No
$19,750.00
No
2018-11-13
D/A
$22,430.00
Yes
$0.00
Yes
AMOUNT REPRESENTS TOTAL ESTIMATED AMOUNT OF COMMISSION PAID IN CASH ONLY.
2018-07-03
D
$0.00
No
$22,430.00
Yes