Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CORPORATE FINANCE SECURITIES, INC.
143453
ROBERT P. ST. GERMAIN
5384187
NONE
NONE
CORPORATE FINANCE SECURITIES, INC.
143453
CORPORATE FINANCE SECURITIES INC.
143453
CORPORATE FINANCE SECURITIES INC.
143453
NONE
NONE
CORPORATE FINANCE SECURITIES, INC.
143453
CORPORATE FINANCE SECURITIES, INC.
143453
N/A
NONE
CORPORATE FINANCE SECURITIES INC.
143453
CORPORATE FINANCE SECURITIES INC.
143453
NONE
NONE
CORPORATE FINANCE SECURITIES, INC.
143453
NONE
NONE
CORPOPRATE FINANCE SECURITIES INC
143453
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-01-14
D
$49,500.00
No
$0.00
No
2019-05-14
D
$14,000.00
No
$0.00
No
2019-01-24
D/A
$44,000.00
No
$0.00
No
2019-01-08
D
$44,000.00
No
$0.00
No
2018-12-06
D
$56,000.00
Yes
$0.00
No
2018-05-07
D
$27,500.00
No
$0.00
No
2018-01-11
D
$41,670.00
Yes
$0.00
No
2017-08-11
D/A
$325,000.00
Yes
$0.00
No
BASED ON AN AGGREGATE OFFERING PRICE OF $5,000,000.
2017-03-06
D
$39,000.00
Yes
$0.00
No
FIVE PERCENT (5%) PLUS A CARRIED INTEREST
2017-01-06
D
$19,900.00
No
$0.00
No
2016-12-01
D/A
$94,008.00
No
$0.00
No
2016-10-13
D
$225,000.00
Yes
$0.00
No
FIVE PERCENT (5%) PLUS A CARRIED INTEREST.
2016-08-15
D
$325,000.00
Yes
$0.00
No
BASED ON AN AGGREGATE OFFERING PRICE OF $5,000,000.
2014-04-18
D
$37,500.00
Yes
$0.00
No
2009-08-03
D/A
$250,000.00
Yes
$0.00
No