Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SECURITIES AMERICA
10205
BRETT ELLEN
1460478
SECURITIES AMERICA, INC.
10205
BRETT ELLEN
1460478
SECURITIES AMERICA, INC
10205
BRETT ELLEN
1460478
SECUTITIES AMERICA, INC
10205
BRETT ELLEN
1460478
SECURITIES AMERICA
10205
BRETT ELLEN
1460478
SECURITIES AMERICA, INC.
10205
BRETT SCOTT ELLEN
1460478
UNITED PLANNERS- FINANCIAL SERVICES OF AMERICA LIMITED PARTNER
20804
BRETT ELLEN
1460478
UNITED PLANNERS- FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
20804
BRETT ELLEN
1460478
UNITED PLANNERS FINANCIAL SERVICES
20804
BRETT ELLEN
1460478
UNITED PLANNERS- FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
20804
BRETT SCOTT ELLEN
1460478
UNITED PLANNERS
20804
BRETT ELLEN
1460478
UNITED PLANNERS- FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
20804
BRETT S. ELLEN
1460478
DFPG INVESTMENTS, INC.
155576
BRETT S. ELLEN
1460478
BRETT ELLEN
1460478
ARQUE CAPITAL, LTD.
121192
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-12-30
D
$861,053.00
No
$0.00
No
$602,736.90 SALES COMMISSION; $86,105.27 DUE DILIGENCE FEE; $86,105.27 WHOLESALE COMMISSION; $86,105.27 DEALER MANAGER FEE
2018-01-03
D/A
$1,159,274.00
No
$0.00
No
2017-11-22
D/A
$56,200.00
No
$0.00
No
2017-11-09
D/A
$50,000.00
No
$0.00
No
2017-11-09
D/A
$25,000.00
No
$0.00
No
2017-11-07
D/A
$604,496.00
No
$0.00
No
2017-11-03
D/A
$50,000.00
No
$0.00
No
2017-10-03
D/A
$1,954.00
No
$0.00
No
2017-04-11
D/A
$452,074.00
No
$0.00
No
2017-02-14
D
$71,845.00
No
$0.00
No
2017-01-13
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-12-12
D/A
$50,000.00
No
$0.00
No
2016-12-12
D/A
$74,800.00
No
$0.00
No
2016-12-05
D/A
$56,200.00
No
$0.00
No
2016-11-22
D/A
$50,000.00
No
$0.00
No
2016-11-18
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-11-15
D/A
$25,000.00
No
$0.00
No
2016-11-15
D/A
$496,367.00
No
$0.00
No
2016-11-07
D/A
$50,000.00
No
$0.00
No
2016-11-04
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-10-21
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-09-26
D
$633.00
No
$0.00
No
2016-09-23
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-09-09
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-08-29
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-08-08
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-07-25
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-07-14
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-07-06
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-06-22
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-03-16
D/A
$325,136.00
No
$0.00
No
2015-12-21
D/A
$74,800.00
No
$0.00
No
2015-12-16
D/A
$50,000.00
No
$0.00
No
2015-12-03
D/A
$56,200.00
No
$0.00
No
2015-11-25
D/A
$25,000.00
No
$0.00
No
2015-11-25
D/A
$50,000.00
No
$0.00
No
2015-11-12
D/A
$50,000.00
No
$0.00
No
2015-10-14
D/A
$936,409.00
No
$0.00
No
2015-03-19
D/A
$224,814.00
No
$0.00
No
2014-12-10
D/A
$74,800.00
No
$0.00
No
2014-12-10
D/A
$60,000.00
No
$0.00
No
2014-12-10
D/A
$50,000.00
No
$0.00
No
2014-11-18
D/A
$56,200.00
No
$0.00
No
2014-11-13
D
$234,102.00
No
$0.00
No
2014-11-03
D/A
$25,000.00
No
$0.00
No
2014-11-03
D/A
$50,000.00
No
$0.00
No
2014-11-03
D/A
$40,000.00
No
$0.00
No
2014-04-22
D
$31,756.00
No
$0.00
No
2013-12-18
D/A
$74,800.00
No
$0.00
No
2013-12-18
D/A
$37,500.00
No
$0.00
No
2013-12-18
D/A
$45,000.00
No
$0.00
No
2013-12-12
D/A
$56,200.00
No
$0.00
No
2013-11-21
D
$25,000.00
No
$0.00
No
2013-11-21
D
$50,000.00
No
$0.00
No
2013-11-21
D
$30,000.00
No
$0.00
No
2013-01-25
D/A
$49,150.00
No
$0.00
No
2013-01-24
D/A
$45,000.00
No
$0.00
No
2013-01-23
D/A
$50,000.00
No
$0.00
No
2012-12-27
D/A
$56,200.00
No
$0.00
No
2012-03-30
D/A
$49,150.00
No
$0.00
No
2012-03-30
D/A
$37,500.00
No
$0.00
No
2012-03-30
D/A
$30,000.00
No
$0.00
No
2012-03-30
D/A
$37,450.00
No
$0.00
No
2012-02-21
D/A
$50,000.00
No
$0.00
No
2010-12-20
D/A
$25,650.00
No
$0.00
No
2010-12-20
D/A
$25,000.00
No
$0.00
No
2010-12-20
D/A
$37,450.00
No
$0.00
No
2010-11-22
D
$12,500.00
No
$0.00
No
2010-11-22
D
$10,000.00
No
$0.00
No
2010-11-22
D/A
$50,000.00
No
$0.00
No
2010-03-08
D/A
$25,000.00
No
$0.00
No
2010-02-19
D/A
$25,650.00
No
$0.00
No
2010-02-19
D/A
$25,000.00
No
$0.00
No
2010-02-19
D
$18,750.00
No
$0.00
No
2009-12-01
D
$15,000.00
No
$0.00
No
2009-08-31
D
$18,750.00
No
$0.00
No
2009-08-28
D
$25,000.00
No
$0.00
No
2009-05-27
D
$8,750.00
No
$0.00
No
2009-04-08
D
$25,000.00
No
$0.00
No