Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

AVALON SECURITIES, LTD
30522
LYNDA DAVEY
1185760
LYNDA DAVEY
1185760
AVALON SECURITIES, LTD.
30522
LYNDA DAVEY
1185760
AVALON SECURITIES, LTD.
30522
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-07-06
D/A
$75,000.00
Yes
$15,000.00
Yes
SUCH ESTIMATES BASED ON ASSUMPTION THAT REMAINING SECURITIES TO BE SOLD WILL BE SOLD BY OR THROUGH BROKER/DEALERS
2014-05-30
D
$700,000.00
Yes
$0.00
No
2013-04-05
D/A
$176,000.00
Yes
$0.00
Yes
SUBJECT TO DOWNWARD REVISION BY FUND MANAGER, AVALON-S COMMISSION IS UP TO 1.5% OF ALL GROSS PROCEEDS AS BROKER-DEALER MANAGER; BROKER DEALERS UP TO 4% OF THE GROSS PROCEEDS SOLD.
2012-04-04
D/A
$176,000.00
Yes
$0.00
Yes
SUBJECT TO DOWNWARD REVISION BY FUND MANAGER, AVALON-S COMMISSION IS UP TO 1.5% OF ALL GROSS PROCEEDS AS BROKER-DEALER MANAGER; BROKER DEALERS UP TO 4% OF THE GROSS PROCEEDS SOLD.
2011-10-05
D
$110,000.00
Yes
$0.00
Yes
AVALON TO RECEIVE COMMISSION UP TO 1.5% OF ALL GROSS PROCEEDS AS BROKER-DEALER MANAGER; BROKER DEALERS UP TO 4% OF THE GROSS PROCEEDS SOLD.