Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
WATERMARK ADVISORS LLC
127819
NONE
NONE
WATERMARK ADVISORS, LLC
127819
NONE
NONE
WATERMARK ADVISORS, LLC
127819
NONE
NONE
WATERMARK ADVISORS, LLC
127819
NONE
NONE
WATERMARK ADVISORS, LLC
127819
WATERMARK ADVISORS
127819
WATERMARK ADVISORS
127819
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-09-16
D/A
$0.00
No
$12,500.00
No
2015-02-27
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2015-02-02
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2015-01-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2015-01-08
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-12-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-12-08
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-11-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-11-06
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-10-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-09-24
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-09-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-08-28
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-08-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-07-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-07-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-06-19
D/A
$371,131.00
Yes
$113,569.00
Yes
UP TO 8.35% TO PAY BROKER COMMISSION AND WHOLESALING FEE AND UP TO 1% TO PAY MANAGING BROKER DEALER FEE.
2014-06-19
D/A
$2,488,854.00
Yes
$789,376.00
Yes
UP TO 8.35% TO PAY BROKER COMMISSION AND WHOLESALING FEE AND UP TO 1% TO PAY MANAGING BROKER DEALER FEE.
2014-06-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-05-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-05-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-04-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-04-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-03-27
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-03-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-03-03
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-02-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-01-27
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-01-16
D/A
$1,288,402.00
No
$0.00
No
IROQUOIS CAPITAL ADVISORS, LLC RECEIVED DISTRIBUTION COMMISSIONS IN THE AMOUNT OF 7% ($0.945 PER SHARE) OF THE AMOUNT SOLD. WATERMARK ADVISORS, LLC RECEIVED DISTRIBUTION COMMISSIONS IN THE AMOUNT OF 3% ($0.405 PER SHARE) OF THE AMOUNT SOLD.
2014-01-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-12-23
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-12-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-11-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-11-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-10-31
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-10-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-10-04
D/A
$4,175,000.00
Yes
$500,000.00
Yes
UP TO 8.35% TO PAY BROKER COMMISSION AND WHOLESALING FEE AND UP TO 1% TO PAY MANAGING BROKER DEALER FEE.
2013-10-04
D/A
$1,043,750.00
Yes
$125,000.00
Yes
UP TO 8.35% TO PAY BROKER COMMISSION AND WHOLESALING FEE AND UP TO 1% TO PAY MANAGING BROKER DEALER FEE.
2013-10-02
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-09-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-07-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-06-26
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-06-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-05-24
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-05-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-25
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-25
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-03
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-02
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-03-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-03-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-31
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-31
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-04-12
D
$100,000.00
Yes
$0.00
No
THIS AMOUNT IS DEPENDENT ON SALES SPECIFICALLY MADE THROUGH WATERMARK ADVISORS.