Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

HAGEN SECURITIES, INC.
27353
TYRONE H. WYNFIELD
1341666
HAGEN SECURITIES INC.
27353
TYE WYNFIELD
1341666
HAGEN SECURITIES, INC.
27353
TYE WINFIELD
1341666
HAGEN SECURITIES, INC.
27353
TYRONE HAGEN WYNFIELD
1341666
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-03-19
D/A
$2,583,437.00
Yes
$0.00
No
2019-11-14
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-10-31
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-10-17
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-10-04
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-09-23
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-09-05
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-09-05
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-08-22
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-08-14
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-07-31
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-07-18
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-07-09
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-06-28
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2015-07-09
D/A
$2,247,429.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
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.
2015-04-30
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.
2015-03-27
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.
2015-03-17
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.
2015-03-03
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.
2015-02-19
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.
2015-02-11
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.
2015-01-28
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.
2015-01-20
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.
2013-05-22
D/A
$542,846.00
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.
2013-02-27
D/A
$542,846.00
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.
2013-01-09
D/A
$542,846.00
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.
2012-12-12
D/A
$542,846.00
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.
2012-10-30
D/A
$1,258,417.00
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.
2012-10-24
D/A
$542,846.00
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.
2012-10-10
D/A
$542,846.00
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.
2012-09-26
D
$542,846.00
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.
2012-09-04
D/A
$1,258,417.00
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.
2012-08-09
D/A
$1,258,417.00
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.