Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ARJENT, LTD
131431
MICHAEL MORRIS
843281
ARJENT SERVICES LLC
131431
MORE THAN FIVE
NONE
NONE
NONE
ARJENT LLC
131431
ARJENT LLC
131431
N/A
NONE
NONE
NONE
ARJENT LLC
131431
ARJENT LLC
131431
SIMON FISCHER
1642961
ARJENT LLC
131431
ARJENT LLC
131431
ARJENT LLC
131431
JONATHAN LAWRENCE
2376608
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-05-14
D/A
$155,700.00
Yes
$0.00
No
2015-05-14
D/A
$914,000.00
Yes
$0.00
No
2015-05-11
D/A
$0.00
Yes
$0.00
Yes
2015-04-29
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS RAISED PURSUANT TO AGREEMENT WITH SAID ENTITY.
2014-11-24
D/A
$4,000.00
No
$0.00
No
2014-05-05
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
2014-05-01
D/A
$180,000.00
Yes
$0.00
No
2014-05-01
D/A
$50,000.00
Yes
$0.00
No
2014-04-23
D/A
$715,000.00
Yes
$0.00
No
ARJENT, LLC, A FINRA REGISTERED FIRM, WILL RECEIVE COMMISSIONS OF 10% (10,000 PER OFFERING UNIT) AND A 3% ($3,000 PER OFFERING UNIT) NON-ACCOUNTABLE EXPENSE ALLOWANCE.
2014-04-21
D
$715,000.00
Yes
$0.00
No
ARJENT, LLC, A FINRA REGISTERED FIRM, WILL RECEIVE COMMISSIONS OF 10% (10,000 PER OFFERING UNIT) AND A 3% ($3,000 PER OFFERING UNIT) NON-ACCOUNTABLE EXPENSE ALLOWANCE.
2014-02-28
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
2013-12-11
D
$400,000.00
Yes
$0.00
No
ARJENT LLC, A FINRA REGISTERED FIRM AS PLACEMENT AGENT, WILL RECEIVE SELLING COMMISSIONS OF 10% FOR EACH MEMBERSHIP UNIT SOLD ($10,000 PER UNIT) AND A $75,000 FEE.
2013-03-07
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 IS PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
2011-10-12
D
$375,000.00
No
$0.00
No
2009-06-16
D
$225,000.00
No
$0.00
No
COMMISSION EQUAL TO 10% OF THE OFFERING PROCEEDS, 3% NON-ACCOUNTABLE EXPENSE ALLOWANCE, 2% NON-ACCOUNTABLE DUE DILIGENCE EXPENSE ALLOWANCE, WARRANTS TO PURCHASE TWO MILLION (2,000,000) SHARES OF COMMON STOCK AT AN EXERCISE PRICE EQUAL TO $0.062
2009-03-16
D/A
$0.00
No
$2,400,000.00
Yes