Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SAXONY SECURITIES, INC.
115547
SAXONY CAPITAL MANAGEMENT, LLC
122692
SAXONY CAPITAL MANAGEMENT, LLC
122692
VINCENT JOHN KLEIN
6405729
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-12-15
D
$276,302.00
No
$0.00
No
SELLING COMMISSION: $123,445.00; MANAGING BROKER FEES: $108,904.00. DUE DILIGENCE FEE: $43,953.15.
2014-02-14
D/A
$46,639.00
No
$0.00
No
2013-04-03
D
$6,500.00
No
$0.00
No