Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
ROCKFLEET
149325
NONE
NONE
ROCKFLEET FINANCIAL SERVICES, INC.
149325
NONE
NONE
ROCKFLEET FINANCIAL SERVICES, INC
149325
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-07-28
D
$0.00
No
$7,750.00
Yes
2016-05-18
D/A
$74,164,588.00
Yes
$0.00
No
2015-05-21
D/A
$57,617,245.00
Yes
$0.00
No
2015-03-17
D/A
$17,538,149.00
Yes
$0.00
No
2014-05-20
D/A
$43,787,082.00
Yes
$0.00
No
2014-03-17
D/A
$14,392,788.00
Yes
$0.00
No