Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
REGIONS INVESTMENT MANAGEMENT, INC.
111715
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-08-28
D/A
$5,619,531.00
Yes
$0.00
No
REGIONS, HIGHLAND, CITIGROUP, DEUTSCHE BANK, D.A. DAVIDSON, AND GS CAPITAL NO LONGER SOLICIT FOR THE ISSUER AND NO LONGER RECEIVE COMMISSIONS.
2024-08-29
D/A
$5,619,531.00
Yes
$0.00
No
REGIONS, HIGHLAND, CITIGROUP, DEUTSCHE BANK, D.A. DAVIDSON, AND GS CAPITAL NO LONGER SOLICIT FOR THE ISSUER AND NO LONGER RECEIVE COMMISSIONS.
2023-12-05
D/A
$5,619,531.00
Yes
$0.00
No
REGIONS, HIGHLAND, CITIGROUP, DEUTSCHE BANK, D.A. DAVIDSON, AND GS CAPITAL NO LONGER SOLICIT FOR THE ISSUER AND NO LONGER RECEIVE COMMISSIONS.
2022-12-05
D/A
$5,619,531.00
Yes
$0.00
No
REGIONS, HIGHLAND, CITIGROUP, DEUTSCHE BANK, D.A. DAVIDSON, AND GS CAPITAL NO LONGER SOLICIT FOR THE ISSUER AND NO LONGER RECEIVE COMMISSIONS.
2021-11-29
D/A
$5,600,970.00
Yes
$0.00
No
REGIONS, HIGHLAND, CITIGROUP, DEUTSCHE BANK, AND GS CAPITAL NO LONGER SOLICIT FOR THE ISSUER AND NO LONGER RECEIVE COMMISSIONS.
2020-11-25
D/A
$5,433,909.00
Yes
$0.00
No
REGIONS, HIGHLAND, CITIGROUP, DEUTSCHE BANK, AND GS CAPITAL NO LONGER SOLICIT FOR THE ISSUER AND NO LONGER RECEIVE COMMISSIONS.
2019-11-25
D/A
$5,433,909.00
Yes
$0.00
No
REGIONS, HIGHLAND, CITIGROUP, DEUTSCHE BANK, AND GS CAPITAL NO LONGER SOLICIT FOR THE ISSUER AND NO LONGER RECEIVE COMMISSIONS.
2018-11-21
D/A
$5,433,909.00
Yes
$0.00
No
2017-09-12
D/A
$3,376,249.00
Yes
$0.00
No
2017-08-25
D/A
$5,310,376.00
Yes
$0.00
No
2016-09-22
D/A
$6,156,869.00
Yes
$0.00
No
2016-09-21
D/A
$0.00
No
$0.00
No
2016-08-22
D/A
$5,153,132.00
Yes
$0.00
No
2015-09-21
D/A
$5,759,717.00
Yes
$0.00
No
2015-08-25
D/A
$4,943,451.00
Yes
$0.00
No
2015-03-10
D/A
$4,899,333.00
Yes
$0.00
Yes
2015-02-12
D/A
$4,899,333.00
Yes
$0.00
Yes
2014-09-19
D/A
$5,445,238.00
Yes
$0.00
No
2014-02-10
D/A
$4,492,832.00
Yes
$0.00
Yes
2013-09-20
D/A
$6,201,026.00
Yes
$0.00
No
2013-04-15
D/A
$6,115,724.00
Yes
$0.00
No
2013-04-15
D/A
$4,456,694.00
Yes
$0.00
Yes
2012-04-13
D/A
$4,214,760.00
Yes
$0.00
Yes
2012-04-13
D/A
$5,736,979.00
Yes
$0.00
Yes