Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

OAK TREE SECURITIES, INC
18126
BRUCE BEETZ
1527269
BRUCE BEETZ
1527269
OAK TREE SECURITIES
18126
OAK TREE SECURITIES
18126
BRUCE BEETZ
1527269
OAK TREE SECURITIES INC.
18126
BRUCE BEETZ
1527269
OAK TREE SECURITIES, INC.
18126
BRUCE R. BEETZ
1527269
EMERSON EQUITY LLC
130032
BRUCE BEETZ
1527269
EMERSON EQUITY LLC
130032
BRUCE ROBERT BEETZ
1527269
BRUCE BEETZ
1527269
EMERSON EQUITY, LLC
130032
EMERSON EQUITY LLC
130032
BRUCE BEETZ
1527269
BRUCE BEETZ
1527269
EMERSON EQUITY LLC
130032
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-23
D/A
$35,613.00
No
$0.00
No
2025-09-05
D/A
$110,854.00
No
$0.00
No
2023-12-22
D
$1,043,652.00
No
$0.00
No
MANAGING BROKER DEALER FEE: $267,309.14; DUE DILIGENCE FEE: $154,597.50; WHOLESALE AND MARKETING FEE: $213,847.31 SALES COMMISSIONS: $351,050.00 O+E: $56,847.50
2023-10-13
D/A
$110,854.00
No
$0.00
No
2023-01-09
D/A
$0.00
No
$917,900.00
Yes
2022-12-27
D
$0.00
No
$917,900.00
Yes
2022-07-19
D/A
$98,442.00
No
$0.00
No
2022-01-10
D
$1,644,687.00
No
$0.00
No
INCLUSIVE OF $869,960 SELLING COMMISSIONS; $255,493.06 DUE DILIGENCE FEE; $231,821.89 MARKETING/WHOLESALE FEE; AND $287,412.47 BROKER/DEALER FEE.
2021-12-22
D
$484,260.00
No
$0.00
No
2021-06-25
D
$3,769,819.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS PAID.
2020-08-06
D
$2,330,000.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS PAID.
2020-05-12
D/A
$729,230.00
Yes
$0.00
No
2020-05-12
D/A
$729,230.00
Yes
$0.00
No
2020-03-30
D
$1,510,337.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS PAID.
2018-01-25
D
$3,471,781.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS EARNED
2017-07-31
D
$1,920,888.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS EARNED
2017-05-03
D
$1,130,000.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND COMMISSIONS EARNED
2016-08-09
D
$15,150.00
Yes
$0.00
No
2016-03-02
D/A
$11,979.00
No
$0.00
No
2012-11-20
D/A
$102,817.00
No
$0.00
No
2011-12-30
D/A
$2,500,000.00
Yes
$0.00
No
2011-08-24
D/A
$16,000,000.00
Yes
$0.00
No
2010-08-13
D/A
$16,000,000.00
Yes
$0.00
No
2010-06-03
D/A
$2,500,000.00
Yes
$0.00
No
2010-04-02
D/A
$2,500,000.00
Yes
$0.00
No
2010-02-26
D/A
$2,500,000.00
Yes
$0.00
No
2010-02-10
D/A
$2,500,000.00
Yes
$0.00
No
2009-12-30
D/A
$2,500,000.00
Yes
$0.00
No