Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NFP SECURITIES, INC.
42046
STEPHEN WHIPPLE
1305851
NFP SECURITIES
42046
STEPHEN WHIPPLE
1305851
CBIZ FINANCIAL SOLUTIONS, INC.
16678
STEPHEN WHIPPLE
1305851
NFP SECURITIES
42046
STEPHEN WHIPPLE
1305851
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-10-11
D/A
$40,000,000.00
No
$0.00
No
2020-12-22
D/A
$40,000,000.00
No
$0.00
No
2019-12-20
D/A
$40,000,000.00
No
$0.00
No
2018-12-19
D/A
$40,000,000.00
No
$0.00
No
2017-12-20
D/A
$40,000,000.00
No
$0.00
No
2016-12-19
D/A
$40,000,000.00
No
$0.00
No
2016-12-19
D/A
$40,000,000.00
No
$0.00
No
2015-12-11
D/A
$40,000,000.00
No
$0.00
No
2015-12-11
D
$6,561,469.00
No
$0.00
No
2015-12-11
D
$1,315,861.00
No
$0.00
No
2015-12-11
D
$1,108,546.00
No
$0.00
No
2014-12-15
D/A
$40,000,000.00
Yes
$0.00
No
2014-12-05
D/A
$1,041,773.00
No
$0.00
No
2014-12-05
D/A
$673,223.00
No
$0.00
No
2014-12-05
D/A
$6,634,287.00
No
$0.00
No
2014-08-13
D/A
$40,000,000.00
Yes
$0.00
No
2013-12-13
D/A
$40,000,000.00
Yes
$0.00
No
2013-12-11
D/A
$6,445,456.00
No
$0.00
No
2013-12-11
D
$6,445,456.00
No
$0.00
No
2013-12-04
D/A
$424,764.00
No
$0.00
No
2013-12-04
D
$1,002,420.00
No
$0.00
No
2013-05-16
D/A
$40,000,000.00
Yes
$0.00
No
2012-12-31
D
$6,098,520.00
No
$0.00
No
2012-12-31
D
$679,331.00
No
$0.00
No
2012-12-28
D
$407,948.00
No
$0.00
No
2012-12-20
D/A
$40,000,000.00
Yes
$0.00
No
2012-11-15
D/A
$40,000,000.00
Yes
$0.00
No
2012-07-09
D/A
$30,000,000.00
Yes
$0.00
No
2012-03-21
D/A
$25,000,000.00
Yes
$0.00
No
2011-12-02
D/A
$20,000,000.00
Yes
$0.00
No
2011-11-15
D/A
$20,000,000.00
Yes
$0.00
No
2011-10-07
D
$5,635,005.00
No
$0.00
No
2011-10-05
D
$662,847.00
No
$0.00
No
2011-10-05
D
$427,284.00
No
$0.00
No
2011-07-28
D/A
$20,000,000.00
Yes
$0.00
No
2011-06-08
D/A
$0.00
No
$0.00
No
2011-04-11
D/A
$20,000,000.00
Yes
$0.00
No
2010-12-14
D/A
$20,000,000.00
Yes
$0.00
No
2010-10-26
D/A
$20,000,000.00
Yes
$0.00
No
2010-08-09
D/A
$0.00
No
$0.00
No
2010-07-22
D/A
$20,000,000.00
Yes
$0.00
No
2010-06-17
D/A
$523,686.00
No
$0.00
No
2010-06-17
D
$399,951.00
No
$0.00
No
2010-06-17
D/A
$4,708,034.00
No
$0.00
No
2010-04-06
D/A
$20,000,000.00
Yes
$0.00
No