Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
7325
JOHN PALMER
1441058
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-09-13
D/A
$78,741.00
No
$0.00
No
TRAILING COMMISSION PAID IN NOVEMBER 2016.
2016-09-16
D/A
$160,056.00
No
$0.00
No
TRAILING COMMISSION PAID IN JANUARY 2016.
2016-07-21
D/A
$3,596.00
No
$0.00
No
COMMISSIONS PAID FROM JULY 1, 2015 TO JULY 1, 2016.
2015-09-24
D/A
$220,500.00
No
$0.00
No
COMMISSION PAID FOR THE NOVEMBER 2014 INITIAL CLIENT FUNDING.
2015-07-21
D/A
$10,744.00
No
$0.00
No
2014-11-06
D
$150,000.00
Yes
$0.00
No
COMMISSIONS MAY BE CAPPED AT $150,000.
2014-07-11
D/A
$0.00
No
$0.00
No
NO SUCH COMMISSIONS OR EXPENSES WERE PAID BY THE ISSUER.
2013-07-12
D/A
$0.00
No
$0.00
No
NO SUCH COMMISSIONS OR EXPENSES WERE PAID BY THE ISSUER.
2012-07-12
D/A
$0.00
No
$0.00
No
NO SUCH COMMISSIONS OR EXPENSES WERE PAID BY THE ISSUER.