Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

TRICOR FINANCIAL, LLC
142518
JOHN BARRAGAN
2941942
TRICOR FINANCIAL, LLC
142518
FRANK AGUILAR
2296920
TRICOR FINANCIAL, LLC
142518
ELIZABETH DEGADO-SCHUETZE
4501355
TRICOR FINANCIAL, LLC
142518
JASON GAROFALO
3008935
TRICOR FINANCIAL, LLC
142518
ELIZABETH DELGADO-SCHUETZE
4501355
TRICOR FINANCIAL LLC
142518
TRICOR FINANCIAL LLC
142518
TRICOR FINANCIAL, LLC
142518
JASON L. GAROFALO
3008935
TRICOR FINANCIAL, LLC
142518
ELIZABETH DELGADO-SCHUETZE
4501355
TRICOR FINANCIAL, LLC
142518
PATRICK JORDAN
2363995
TRICOR FINANCIAL, LLC
142518
JASON L. GAROFALO
3008935
TRICOR FINANCIAL, LLC
142518
TRICOR FINANCIAL, LLC
142518
NONE
NONE
TRICOR FINANCIAL, LLC
142518
NONE
NONE
TRICOR FINANCIAL, LLC
142518
TRICOR FINANCIAL LLC
142518
FRANK AGUILAR
2296920
TRICOR FINANCIAL LLC
142518
ELIZABETH DELGADO-SCHUETZE
4501355
TRICOR FINANCIAL LLC
142518
JASON L. GAROFALO
3008935
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-07-26
D/A
$1,200.00
Yes
$0.00
No
2016-05-18
D/A
$74,164,588.00
Yes
$0.00
No
2015-08-17
D/A
$1,200.00
Yes
$0.00
No
2015-05-21
D/A
$57,617,245.00
Yes
$0.00
No
2015-03-25
D/A
$1,582,950.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2014-11-25
D/A
$176,200.00
Yes
$0.00
No
2014-05-20
D/A
$43,787,082.00
Yes
$0.00
No
2013-11-27
D/A
$681,400.00
Yes
$0.00
No
2013-11-27
D/A
$176,200.00
Yes
$0.00
No
2013-05-22
D/A
$31,856,493.00
Yes
$0.00
No
2012-10-18
D/A
$176,200.00
Yes
$0.00
No
2012-10-18
D/A
$681,400.00
Yes
$0.00
No
2012-07-13
D/A
$6,000.00
No
$0.00
No
2012-04-24
D/A
$919,942.00
Yes
$0.00
No
2011-06-30
D/A
$6,000.00
No
$0.00
No
2011-05-12
D/A
$2,868,000.00
Yes
$0.00
No
2011-05-12
D/A
$250,000.00
Yes
$0.00
No
2011-04-29
D/A
$14,613,167.00
Yes
$0.00
No
SELLING AGENTS RECEIVE A 2% UPFRONT COMMISSION ON SERIES A SUBSCRIPTIONS; + 2% OF AVG. MONTH-END NET ASSETS PER YR. FOR SERIES A (AFTER 13 MOS.)AND B AND .50% FOR SERIES W- ITEM 12. THE OFFERING BEGAN BEFORE 3/15/09; ITEM 15 REFLECTS INFO. FROM SUCH DATE
2011-03-29
D/A
$2,868,000.00
Yes
$0.00
No
2011-03-29
D/A
$250,000.00
Yes
$0.00
No
2011-01-11
D/A
$867,300.00
No
$0.00
No
2010-11-02
D/A
$867,300.00
No
$0.00
No
2010-10-15
D/A
$867,300.00
No
$0.00
No
2010-10-08
D/A
$3,000.00
No
$0.00
No
2010-10-05
D/A
$867,300.00
No
$0.00
No
2010-09-17
D/A
$867,300.00
No
$0.00
No
2010-08-27
D/A
$2,000,000.00
Yes
$0.00
No
2010-08-27
D/A
$898,625.00
No
$0.00
No
2010-07-15
D/A
$3,000.00
No
$0.00
No
2010-06-09
D/A
$250,000.00
Yes
$0.00
No
2010-06-01
D/A
$898,625.00
No
$0.00
No
2010-04-27
D/A
$898,625.00
No
$0.00
No
2010-04-15
D/A
$250,000.00
Yes
$0.00
No
2010-04-14
D/A
$898,625.00
No
$0.00
No
2010-03-17
D/A
$898,625.00
No
$0.00
No
2010-03-03
D/A
$898,625.00
No
$0.00
No
2010-02-25
D/A
$3,000.00
No
$0.00
No
2010-02-19
D/A
$898,625.00
No
$0.00
No
2010-02-05
D/A
$898,625.00
No
$0.00
No
2009-08-27
D/A
$250,000.00
Yes
$0.00
No
2009-06-08
D/A
$250,000.00
Yes
$0.00
No