Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NEWPORT COAST SECURITIES INC.
16944
KENNETH W. FINNELL
1184110
KEN FINNELL
1184110
NEWPORT COAST SECURITIES
16944
NEWPORT COAST SECURITIES
16944
KENNETH FINNELL
1184110
CENTAURUS FINANCIAL, INC.
30822
KEN FINNELL
1184110
CENTAURUS FINANCIAL, INC.
30833
KENNETH W. FINNELL
1184110
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-10-28
D/A
$3,150,000.00
Yes
$0.00
No
2014-01-24
D/A
$1,176,905.00
No
$0.00
No
2013-04-03
D/A
$3,850,000.00
Yes
$0.00
No
2011-12-30
D/A
$2,500,000.00
Yes
$0.00
No
2011-08-30
D
$0.00
Yes
$0.00
Yes
2011-03-15
D/A
$8,743,000.00
Yes
$0.00
No
2011-03-15
D/A
$8,743,000.00
Yes
$0.00
No
2010-03-17
D/A
$8,743,000.00
Yes
$0.00
No
2010-03-17
D/A
$8,743,000.00
Yes
$0.00
No