Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FIRST ALLIED SECURITIES, INC.
32444
WILLIAM J. MARCO
1490759
FIRST ALLIED SECURITIES, INC.
32444
WILLIAM J. MARCO
1490759
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-05-08
D/A
$712,444.00
No
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2015-01-09
D/A
$1,087,233.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2010-11-03
D/A
$2,828,429.00
No
$0.00
No