Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
135131
JOHN J. HOCK
1328058
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
135131
JOHN J. HOCK
1328058
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-11-19
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2025-11-19
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2024-12-17
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2024-12-17
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2023-12-20
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2023-12-20
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2023-03-22
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2023-03-22
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2021-11-01
D
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2021-11-01
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2020-10-07
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2020-10-07
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2019-10-10
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2019-10-10
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2018-10-03
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2018-10-03
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2017-10-03
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2017-10-03
D/A
$16,000.00
No
$0.00
No
AMOUNT INCLUDES COMPENSATION FOR SALES FOR AN AFFILIATED FUND ISSUER.
2017-05-02
D/A
$234,000.00
Yes
$0.00
No
2016-10-13
D/A
$16,000.00
Yes
$0.00
No
2016-10-13
D/A
$16,000.00
Yes
$0.00
No
2016-05-02
D/A
$154,000.00
Yes
$0.00
No
2015-10-14
D/A
$16,000.00
Yes
$0.00
No
2015-10-14
D/A
$16,000.00
Yes
$0.00
No
2014-10-14
D/A
$50,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE OVER THE NEXT TWELVE MONTHS.
2014-10-14
D/A
$50,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE OVER THE NEXT TWELVE MONTHS.