Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SIGMA FINANCIAL
14303
LES GOLDSTEIN
1300590
SIGMA FINANCIAL CORPORATION
14303
LESLIE B. GOLDSTEIN
1300590
SIGMA FINANCIAL CORPORATION
14303
LESLIE M. GOLDSTEIN
1300590
SIGMA FINANCIAL CORPORATION
14303
LESLIE B. GOLDSTEIN
1300590
SECURITIES AMERICA, INC.
10205
LESLIE B. GOLDSTEIN
1300590
SECURITIES AMERICA, INC.
10205
LESILE B. GOLDSTEIN
1300590
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2018-07-27
D/A
$130,760,200.00
Yes
$0.00
No
2015-05-21
D/A
$5,460,933.00
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.
2014-05-28
D/A
$1,506,521.00
Yes
$0.00
No
2014-01-28
D/A
$1,299,717.00
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.
2013-07-18
D/A
$1,299,717.00
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.
2013-07-02
D/A
$1,299,717.00
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.
2013-06-19
D/A
$1,299,717.00
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.
2013-06-04
D/A
$1,299,717.00
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.
2013-05-22
D/A
$1,299,717.00
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.
2013-05-13
D/A
$1,299,717.00
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.
2010-10-13
D
$351,000.00
Yes
$0.00
No
2010-06-22
D/A
$353,607.00
No
$0.00
No