Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

UNITED EQUITY SECURITIES, LLC
47261
JAMES M. WHITSON
1353438
OAK TREE SECURITIES
18126
JAMES WHITSON
1353438
OAK TREE SECURITIES
18126
JAMES MICHAEL WHITSON
1353438
OAK TREE SECURITIES INC
18126
JIM WHITSON
1353438
EMERSON EQUITY LLC
130032
JAMES MICHAEL WHITSON
1353438
EMERSON EQUITY LLC
130032
JAMES WHITSON
1353438
JAMES WHITSON
1353438
EMERSON EQUITY LLC
130032
EMERSON EQUITY LLC
130032
JAMES MICHAEL WHITSON
1353438
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-01-09
D/A
$0.00
No
$917,900.00
Yes
2021-04-08
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-01
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-01
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-19
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-11
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-11
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-05
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-11
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-29
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-22
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-15
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-08
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-04
D/A
$1,107,000.00
Yes
$0.00
No
2020-12-30
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-12-23
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-12-18
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-12-04
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-07-31
D/A
$1,846,675.00
Yes
$0.00
Yes
2020-07-24
D/A
$1,846,675.00
Yes
$0.00
Yes
2020-07-16
D/A
$1,846,675.00
Yes
$0.00
Yes
2020-07-02
D/A
$1,846,675.00
Yes
$0.00
Yes
2020-06-17
D/A
$1,846,675.00
Yes
$0.00
Yes
2020-05-12
D/A
$729,230.00
Yes
$0.00
No
2020-05-12
D/A
$729,230.00
Yes
$0.00
No
2017-05-03
D
$1,130,000.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND COMMISSIONS EARNED
2016-12-16
D
$212,100.00
Yes
$0.00
No
THIS RESPONSE IS BASED UPON THE ASSUMPTION THAT THE FULL AMOUNT OF THE SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-08-19
D
$326,785.00
Yes
$0.00
No
THIS RESPONSE IS BASED UPON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISION WILL BE EARNED AND PAID
2010-07-29
D/A
$2,756,000.00
Yes
$0.00
No