Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CALTON AND ASSOCIATES, INC.
20999
HOWARD M. KAPLAN
1171182
CARLTON AND ASSOCIATES, INC.
20999
HOWARD M. KAPLAN
1171182
CALTON + ASSOCIATES, INC.
20999
HOWARD KAPLAN
1171182
CALTON + ASSOCIATES
20999
HOWARD KAPLAN
1171182
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2011-01-07
D/A
$892,710.00
Yes
$0.00
Yes
2010-09-23
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-08-02
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-06-14
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-06-04
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-03-18
D/A
$6,000,000.00
Yes
$0.00
Yes
2009-06-24
D/A
$70,000.00
Yes
$0.00
No
2009-06-01
D/A
$70,000.00
Yes
$0.00
No
2009-04-30
D
$1,512,000.00
Yes
$0.00
No
2009-04-27
D/A
$70,000.00
Yes
$0.00
No
2009-04-16
D/A
$70,000.00
Yes
$0.00
No