Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAROLINA FINANCIAL SECURITIES, LLC
41970
BRUCE V. ROBERTS
1489100
CAROLINA FINANCIAL SECURITIES, LLC
41970
BRUCE V ROBERTS1489100
1489100
Companies
Company Name
CATALYST RESOURCES LLC
People
Name
REX FOUGHT
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-05-15
D
$100,000.00
No
$0.00
No
FOR ACTING AS THE PLACEMENT AGENT, CAROLINA FINANCIAL SECURITIES, LLC WILL RECEIVE A CASH FEE EQUAL TO 4.0% OF THE PROCEEDS RAISED IN THE OFFERING.
2016-10-26
D/A
$280,000.00
No
$0.00
No
5.0% OF FUNDS RAISED. CAROLINA FINANCIAL SECURITIES, LLC (CFS) WILL BE ENTITLED TO WARRANTS TO PURCHASE COMMON STOCK EQUAL TO 5% OF CFS INVESTORS- INTERESTS AT THE TIME OF CFS INVESTOR INTEREST CONVERSION.
2016-05-18
D
$250,000.00
No
$0.00
No
5.0% OF FUNDS RAISED. CAROLINA FINANCIAL SECURITIES, LLC (CFS) WILL BE ENTITLED TO WARRANTS TO PURCHASE COMMON STOCK EQUAL TO 5% OF CFS INVESTORS- INTERESTS AT THE TIME OF CFS INVESTOR INTEREST CONVERSION.