Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

BERTHEL FISHER AND COMPANY FINANCIAL SERVICES
13609
PETER R. DORN
1089858
DORN, PETER
1089858
BERTHEL, FISHER + COMPANY FINANCIAL SERVICES, INC.
13609
DORN, PETER
1089858
BERTHEL, FISHER + COMPANY FINANCIAL SERVICES, INC.
13609
WALL STREET STRATEGIES, INC.
31268
PETER R. DORN
1089858
WALL STREET STRATEGIES, INC.
31268
PETER R. DORN
1089858
WALL STREET STRATEGIES, INC.
31268
PETER R. DORN
1089858
PETER DORN
1089858
CAPE SECURITIES
7072
PETE DORN
1089858
CAPE SECURITIES
7072
CAPE SECURITIES INC.
7072
PETER R. DORN
1089858
CAPE SECURITIES INC.
7072
PETER RAYMOND DORN
1089858
CAPE SECURITIES INC.
7072
PETER DORN
1089858
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-03-18
D/A
$1,336,419.00
Yes
$0.00
No
2024-03-22
D/A
$7,098,393.00
Yes
$0.00
No
2023-03-28
D/A
$5,302,325.00
Yes
$0.00
No
2021-09-28
D/A
$4,437,461.00
Yes
$0.00
No
2021-04-23
D/A
$1,958,581.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-22
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-16
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-08
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-01
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-26
D/A
$1,958,581.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-19
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-16
D/A
$1,958,581.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-11
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-05
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-03
D/A
$1,958,581.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-26
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-19
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-16
D/A
$1,958,581.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-11
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-04
D
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-07-17
D/A
$5,571,207.00
Yes
$0.00
No
2020-05-13
D/A
$2,259,688.00
Yes
$0.00
No
2020-01-21
D/A
$3,455,205.00
Yes
$0.00
No
2020-01-21
D/A
$3,417,245.00
Yes
$0.00
No
2020-01-17
D/A
$2,995,300.00
Yes
$0.00
No
2019-03-21
D/A
$3,140,900.00
Yes
$0.00
No
2015-07-13
D
$599,045.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-12-23
D/A
$1,500,000.00
Yes
$0.00
No
2014-11-21
D/A
$439,518.00
No
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-14
D
$1,500,000.00
Yes
$0.00
No
2014-11-05
D
$439,517.00
No
$0.00
No
2011-02-16
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-29
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-27
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-04
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-02
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-10
D/A
$1,630,688.00
Yes
$0.00
No
2009-03-26
D/A
$3,600,000.00
Yes
$0.00
No