Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

EMERSON EQUITY LLC
130032
FOREST JAMES
1263114
EMERSON EQUITY LLC
130032
FORREST JAMES
1263114
EMERSON EQUITY LLC
130032
FORREST JAMES
1263114
EMERSON EQUITY LLC
130032
JAMES FOREST
1263114
EMERSON EQUITY LLC
130032
FORREST JAMES
1263114
FORREST JAMES
1263114
EMERSON EQUITY
130032
EMERSON EQUITY LLC
130032
FORREST JAMES
1263114
FORREST JAMES
1263114
EMERSON EQUITY, LLC
130032
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-04-07
D/A
$5,886,495.00
Yes
$0.00
Yes
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.
2020-03-18
D/A
$5,886,495.00
Yes
$0.00
Yes
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.
2020-01-29
D/A
$5,886,495.00
Yes
$0.00
Yes
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.
2020-01-21
D/A
$3,417,245.00
Yes
$0.00
No
2020-01-14
D/A
$5,886,495.00
Yes
$0.00
Yes
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.
2019-12-31
D/A
$5,886,495.00
Yes
$0.00
Yes
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.
2019-12-17
D/A
$5,886,495.00
Yes
$0.00
Yes
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.
2019-12-03
D/A
$5,886,495.00
Yes
$0.00
Yes
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.
2019-06-26
D/A
$4,829,730.00
No
$0.00
No
OF THE SALES COMMISSIONS LISTED ABOVE, $629,050 OF SUCH AMOUNT ARE DESIGNATED AS MARKETING FEES.
2018-09-26
D/A
$750,000.00
Yes
$0.00
No
2018-09-06
D/A
$768,600.00
Yes
$0.00
No
2018-02-01
D/A
$451,000.00
Yes
$0.00
No
THIS INCLUDES SELLING COMMISSIONS OF 7% AND A MANAGING BROKER-DEALER FEE OF 4%. THIS FIGURE IS ESTIMATED ASSUMING WE SELL THE MAXIMUM OFFERING AMOUNT.
2017-09-21
D/A
$451,000.00
Yes
$0.00
No
THIS INCLUDES SELLING COMMISSIONS OF 7% AND A MANAGING BROKER-DEALER FEE OF 4%. THIS FIGURE IS ESTIMATED ASSUMING WE SELL THE MAXIMUM OFFERING AMOUNT.
2017-08-30
D/A
$170,640.00
Yes
$0.00
No
REPRESENTS UP TO AN 8% PLACEMENT AGENT FEE.
2017-08-02
D/A
$451,000.00
Yes
$0.00
No
THIS INCLUDES SELLING COMMISSIONS OF 7% AND A MANAGING BROKER-DEALER FEE OF 4%. THIS FIGURE IS ESTIMATED ASSUMING WE SELL THE MAXIMUM OFFERING AMOUNT.
2017-04-03
D/A
$451,000.00
Yes
$0.00
No
THIS INCLUDES SELLING COMMISSIONS OF 7% AND A MANAGING BROKER-DEALER FEE OF 4%. THIS FIGURE IS ESTIMATED ASSUMING WE SELL THE MAXIMUM OFFERING AMOUNT.
2016-04-14
D
$605,125.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS AND ALLOWANCES FOR MARKETING.
2016-01-26
D
$375,550.00
Yes
$0.00
No
2015-07-23
D
$90,000.00
Yes
$0.00
No
BASED ON THE MAXIMUM OFFERING AMOUNT
2014-08-01
D/A
$1,090,725.00
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.
2014-07-01
D/A
$218,604.00
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.