Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
HARBOR LIGHT SECURITIES
154599
ONEVEST
154599
TANYA PRICE
6315611
NONE
NONE
HARBOR LIGHT INVESTMENT ADVISORS, LLC
154599
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-06-15
D/A
$20,000,000.00
Yes
$0.00
No
ASSUMING MAXIMUM OFFERING AMOUNT RAISED. INCLUDES SELLING COMMISSIONS OF 7%; MANAGING BROKER-DEALER FEE OF 2.5% (WHICH MAY BE RE-ALLOWED, IN PART, TO CERTAIN MEMBERS OF THE SELLING GROUP); AND UP TO 0.5% AS A SERVICING FEE TO THE MANAGING BROKER-DEALER.
2019-10-24
D/A
$20,000,000.00
Yes
$0.00
No
ASSUMING MAXIMUM OFFERING AMOUNT RAISED. INCLUDES SELLING COMMISSIONS OF 7%; MANAGING BROKER-DEALER FEE OF 2.5% (WHICH MAY BE RE-ALLOWED, IN PART, TO CERTAIN MEMBERS OF THE SELLING GROUP); AND UP TO 0.5% AS A SERVICING FEE TO THE MANAGING BROKER-DEALER.
2019-08-05
D/A
$20,000,000.00
Yes
$0.00
No
ASSUMING MAXIMUM OFFERING AMOUNT RAISED. INCLUDES SELLING COMMISSIONS OF 7%; MANAGING BROKER-DEALER FEE OF 2.5% (WHICH MAY BE RE-ALLOWED, IN PART, TO CERTAIN MEMBERS OF THE SELLING GROUP); AND UP TO 0.5% AS A SERVICING FEE TO THE MANAGING BROKER-DEALER.
2019-06-13
D/A
$20,000,000.00
Yes
$0.00
No
ASSUMING MAXIMUM OFFERING AMOUNT RAISED. INCLUDES SELLING COMMISSIONS OF 7%; MANAGING BROKER-DEALER FEE OF 2.5% (WHICH MAY BE RE-ALLOWED, IN PART, TO CERTAIN MEMBERS OF THE SELLING GROUP); AND UP TO 0.5% AS A SERVICING FEE TO THE MANAGING BROKER-DEALER.
2016-02-26
D/A
$31,458.00
No
$0.00
No
2015-02-27
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2015-02-02
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2015-01-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2015-01-08
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-12-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-12-08
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-11-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-11-06
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-10-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-09-24
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-09-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-08-28
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-08-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-07-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-07-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-06-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-05-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-05-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-04-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-04-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-03-27
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-03-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-03-03
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-02-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-01-27
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2014-01-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-12-23
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-12-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-11-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-11-12
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-10-31
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-10-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-10-02
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-09-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-07-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-06-26
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-06-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-05-24
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-05-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-25
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-25
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-03
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-04-02
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-03-14
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-03-13
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-31
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-31
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-29
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2013-01-09
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-12-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-12-10
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-11-07
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-11-07
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-10-19
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-10-01
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-09-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-08-07
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-07-11
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.
2012-06-26
D/A
$2,000,000.00
Yes
$0.00
No
UP TO 10.35% TO PAY BROKER DEALER COMMISSIONS, MANAGING BROKER DEALER COMMISSIONS, AND WHOLESALER COMMISSIONS.