Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

AXIOM CAPITAL MANAGEMENT, INC.
26580
LIEM DALTON
1327801
AXIOM CAPITAL MANAGEMENT INC.
26580
LIAM F. DALTON
1327801
AXIOM CAPITAL MANAGEMENT, INC.
26580
LIAM FRANCIS DALTON
1327801
LIAM DALTON
1327801
AXIOM CAPITAL MANAGEMENT INC.
26580
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-01-04
D/A
$1,107,000.00
Yes
$0.00
No
2020-08-07
D/A
$2,478,438.00
Yes
$0.00
No
2019-11-05
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-07-30
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-06-25
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-06-12
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-05-21
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-05-10
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-04-26
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-04-15
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-03-26
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-03-13
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-02-26
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-02-12
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-01-29
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-01-15
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-28
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-17
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-25
D/A
$2,084,625.00
Yes
$0.00
No
2018-10-17
D/A
$2,084,625.00
Yes
$0.00
No