Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
SHERMAN + COMPANY LLC
155575
DFPG INVESTMENTS, LLC
155575
JOSEPH LANGLOIS
4216281
NONE
NONE
DFPG INVESTMENTS LLC
155575
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-07-28
D/A
$1,092,500.00
Yes
$0.00
No
2021-06-10
D/A
$1,092,500.00
Yes
$0.00
No
2021-05-20
D/A
$1,092,500.00
Yes
$0.00
No
2020-11-19
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-11-06
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-30
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-16
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-09
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-02
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-09-25
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-09-16
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2015-09-16
D
$2,430,000.00
No
$0.00
No
FEES PAID SOLELY IN CONNECTION WITH THE ACQUISITION.