Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
PACIFIC WEST SECURITIES, INC.
6390
ROBIN NAYLOR
1392433
PACIFIC WEST SECURITIES, INC.
6390
ROBIN T. NAYLOR
1392433
CENTAURUS FINANCIAL, INC.
30833
ROBIN T. NAYLOR
1392433
SANDLAPPER SECURITIES, LLC
137906
ROBIN T. NAYLOR
1392433
SANDLAPPER SECURITIES, LLC
137906
ROBIN NAYLOR
1392433
ROBIN NAYLOR
1392433
SANDLAPPER SECURITIES LLC
137996
EMERSON EQUITY, LLC.
130032
ROBIN TOM NAYLOR
1392433
ROBIN (ROB) NAYLOR
1392433
EMERSON EQUITY
130032
EMERSON EQUITY LLC
130032
ROBIN TOM NAYLOR
1392433
EMERSON EQUITY LLC
130032
ROBIN TOM NAYLOR
1392433
EMERSON EQUITY LLC.
130032
ROBIN T NAYLOR
1392433
EMERSON EQUITY LLC
130032
ROBIN NAYLOR
1392433
EMERSON EQUITY LLC
130032
ROBIN T NAYLOR
1392433
EMERSON EQUITY LLC
130032
ROBIN NAYLOR
1392433
ROBIN NAYLOR
1392433
EMERSON EQUITY LLC
130032
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D
$737,109.00
No
$0.00
No
SELLING COMMISSIONS: $382,060; DUE DILIGENCE FEES: $83,436; MARKETING ALLOWANCE: $120,506; MANAGING BROKER FEE: $151,107
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$5,886,495.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,344,233.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$1,272,803.00
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.
D/A
$451,000.00
Yes
$0.00
No
THIS INCLUDES SELLING COMMISSIONS OF 7% AND A MANAGING BROKER-DEALER FEE OF 4%. THIS FIGURE IS ESTIMATED ASSUMING WE SELL THE MAXIMUM OFFERING AMOUNT.
D/A
$451,000.00
Yes
$0.00
No
THIS INCLUDES SELLING COMMISSIONS OF 7% AND A MANAGING BROKER-DEALER FEE OF 4%. THIS FIGURE IS ESTIMATED ASSUMING WE SELL THE MAXIMUM OFFERING AMOUNT.
D/A
$451,000.00
Yes
$0.00
No
THIS INCLUDES SELLING COMMISSIONS OF 7% AND A MANAGING BROKER-DEALER FEE OF 4%. THIS FIGURE IS ESTIMATED ASSUMING WE SELL THE MAXIMUM OFFERING AMOUNT.
D/A
$801,582.00
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.
D/A
$801,582.00
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.
D/A
$801,582.00
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.
D/A
$801,582.00
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.
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.
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.
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.
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.
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.
D/A
$350,385.00
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.
D/A
$350,385.00
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.
D/A
$350,385.00
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.
D/A
$350,385.00
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.
D/A
$350,385.00
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.
