Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FIRST ALLIED SECURITIES, INC.
32444
DELMAR V. MCKINNEY, II
1186853
FIRST ALLIED SECURITIES, INC.
32444
DELMAR V. MCKINNEY II
1186853
FIRST ALLIED SECURITIES, INC.
32444
DELMAR V. MCKINNEY, II
1186853
CONCORDE INVESTMENT SERVICES, LLC
151604
DELMAR V. MCKINNEY II
1186853
CONCORDE INVESTMENT SERVICES, LLC
151604
DELMAR V. MCKINNEY
1186853
DELMAR MCKINNEY
1186853
CONCORDE INVESTMENT SERVICES, LLC
151604
CONCORD INVESTMENT SERVICES, LLC.
151604
DELMAR V MCKINNEY
1186853
CONCORDE INVESTMENT SERVICES LLC
151604
DELMAR V. MCKINNEY
1186853
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-05-10
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-12-28
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-28
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-13
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-30
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-09
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-09-25
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-09-07
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-08-27
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-08-07
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-07-25
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-07-25
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-07-10
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-06-28
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-03-01
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-02-14
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-01-31
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-01-31
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-01-16
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-12-18
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-12-01
D/A
$824,440.00
Yes
$0.00
No
2017-11-29
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-11-20
D/A
$906,329.00
Yes
$0.00
No
2017-11-15
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-11-03
D/A
$906,329.00
Yes
$0.00
No
2017-11-01
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-24
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-10
D/A
$824,440.00
Yes
$0.00
No
2017-10-10
D/A
$906,329.00
Yes
$0.00
No
2017-10-06
D
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-09-22
D/A
$824,440.00
Yes
$0.00
No
2017-09-13
D/A
$824,440.00
Yes
$0.00
No
2017-09-08
D/A
$824,440.00
Yes
$0.00
No
2015-09-29
D/A
$2,959,329.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-09-09
D/A
$2,959,329.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-08-24
D/A
$2,959,329.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2011-03-11
D/A
$575,486.00
No
$0.00
No
2011-01-24
D/A
$575,486.00
No
$0.00
No
2011-01-05
D/A
$575,486.00
No
$0.00
No
2010-11-03
D/A
$2,828,429.00
No
$0.00
No