Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PAPPAS, LESLIE M.
1735372
REGENT CAPITAL GROUP, INC.
126881
REGENT CAPITAL GROUP, INC.
126881
BRIAN LEVY
4929320
PAPPAS, LESLIE M.
1735372
REGENT CAPITAL GROUP, INC.
126881
NONE
NONE
REGENT CAPITAL GROUP, INC.
126881
REGENT CAPITAL GROUP, INC.
126881
LESLIE M. PAPPAS
1735372
NONE
NONE
REGENT CAPITAL GROUP, INC.
126881
NONE
NONE
REGENT CAPITAL GROUP
126881
REGENT CAPITAL GROUP
126881
BRIAN LEVY
4929320
REGENT CAPITAL GROUP
126881
LESLIE PAPPAS
1735372
REGENT CAPITAL
126881
MICHAEL LOPEZ
1495581
REGENT CAPITAL GROUP
126881
BARRETT BROWN
2416735
REGENT CAPITAL GROUP
126881
BRIAN LEVY
4929320
REGENT CAPITAL GROUP, INC.
126881
JOSEPH E. SILVER
1561181
REGENT CAPITAL GROUP, INC.
126881
THOMAS ZIMMERMAN
1785424
NONE
NONE
REGENT CAPITAL GROUP
126881
NONE
NONE
REGENT CAPITAL GROUP, INC.
126881
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2014-10-16
D
$0.00
No
$0.00
No
ESTIMATE INDETERMINABLE AT THIS TIME, COMMISSIONS OF $0.38 PER UNIT PAYABLE ON EXCHANGE OFFER, AND COMMISSIONS OF $1.43 PER UNIT PAYABLE ON CASH OFFER.
2014-01-07
D/A
$1,806,196.00
Yes
$0.00
No
2013-01-04
D/A
$1,602,289.00
Yes
$0.00
No
2012-08-08
D/A
$519,331.00
Yes
$0.00
Yes
ASSUMING OFFERING OF $50,000,000 IS ACHIEVED, BASED ON SALES COMMISSION OF 7%.
2012-01-04
D/A
$17,135.00
Yes
$0.00
No
2011-02-16
D/A
$1,630,688.00
Yes
$0.00
No
2011-01-07
D/A
$9,236.00
Yes
$0.00
No
2010-09-07
D/A
$0.00
No
$0.00
No
2010-07-29
D/A
$2,756,000.00
Yes
$0.00
No
2010-07-14
D/A
$1,253,674.00
Yes
$0.00
No
2010-07-13
D/A
$1,883,549.00
No
$0.00
No
2010-06-16
D
$349,600.00
Yes
$0.00
No
2010-06-04
D
$850,000.00
Yes
$150,000.00
Yes
2010-05-13
D/A
$52,500,000.00
Yes
$0.00
No
SALES COMMISSIONS = 6%; MARKETING/DUE DILIGENCE FEE = 0.5%; SUPERVISORY FEE = 1%; AFTER MEMBERS RECEIVE RETURN OF CAPITAL + 20% IRR; BROKER DEALERS RECEIVE PRO RATA SHARE OF 5% OF NET EARNINGS OF ISSUER
2010-03-18
D/A
$52,500,000.00
Yes
$0.00
No
SALES COMMISSIONS = 6%; MARKETING/DUE DILIGENCE FEE = 0.5%; SUPERVISORY FEE = 1%; AFTER MEMBERS RECEIVE RETURN OF CAPITAL + 20% IRR; BROKER DEALERS RECEIVE PRO RATA SHARE OF 5% OF NET EARNINGS OF ISSUER
2010-01-29
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-27
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-22
D/A
$2,756,000.00
Yes
$0.00
No
2010-01-04
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-02
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-10
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-03
D/A
$1,630,688.00
Yes
$0.00
No
2009-10-26
D/A
$1,196,761.00
Yes
$0.00
No
2009-10-19
D/A
$1,630,688.00
Yes
$0.00
No
2009-10-05
D/A
$52,500,000.00
Yes
$0.00
No
SALES COMMISSIONS = 6%; MARKETING/DUE DILIGENCE FEE = 0.5%; SUPERVISORY FEE = 1%; AFTER MEMBERS RECEIVE RETURN OF CAPITAL + 20% IRR; BROKER DEALERS RECEIVE PRO RATA SHARE OF 5% OF NET EARNINGS OF ISSUER
2009-09-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-08-25
D/A
$1,630,688.00
Yes
$0.00
No
2009-08-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-31
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-28
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-14
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-07
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-09
D/A
$1,630,688.00
Yes
$0.00
No
2009-03-17
D/A
$1,630,688.00
Yes
$0.00
No