Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
JEFFREY SLOCUM + ASSOCIATES, INC.
111795
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2014-08-11
D/A
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.
2014-08-07
D/A
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.
2014-08-07
D/A
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.
2014-02-25
D/A
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.
2014-02-24
D/A
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.
2014-02-24
D/A
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.
2013-05-08
D
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S GP MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.
2013-04-23
D/A
$0.00
Yes
$0.00
Yes
PLACEMENT AGENTS MAY RECEIVE UP FRONT COMMISSIONS OF UP TO 3% OF AMOUNT INVESTED IN FUND FROM THEIR CLIENTS. IN ADDITION, THE FUND-S INV. MGR. MAY PAY A PORTION OF ITS MGMT. FEES TO CERTAIN FINDERS.