Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PAVEK INVESTMENTS, INC.
15791
CHRISTOPHER L. BELONGE
4223871
NONE
NONE
PAVEK INVESTMENTS INC.
15791
LINDWALL, LARRY L.
2396758
PAVEK INVESTMENTS INC.
15791
WEDEPOHL, WARREN A.
4581750
PAVEK INVESTMENTS INC.
15791
BRUMM, ROBERT C
2090141
PAVEK INVESTMENTS INC.
15791
PAVEK INVESTMENTS, INC.
15791
TIMOTHY MERCHANT
2962741
PAVEK INVESTMENTS, INC.
15791
JAY MERYER
2962741
PAVEK INVESTMENTS INC.
15791
WARREN WEDEPOHL
4581750
PAVEK INVESTMENTS, INC.
15791
JAY MEYER
333118
PAVEK INVESTMENTS, INC.
15791
PAVEK INVESTMENTS, INC.
15791
PAVEK INVESTMENTS INC.
15791
WARREN A. WEDEPOHL
4581750
PAVEK INVESTMENTS, INC.
15791
JAY J. MEYER
333118
PAVEK INVESTMENTS, INC.
15791
PAVEK INVESTMENTS, INC
15791
AMERICAN BEACON PARTNERS, INC. FKA PAVEK INVESTMENTS, INC.
15791
DENNIS BEEBY
1879834
AMERICAN BEACON PARTNERS, INC. FKA PAVEK INVESTMENTS, INC.
15791
JAY S. POTTER
1585351
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
NONE
NONE
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
DENNIS BEEBY
1879834
AMERICAN BEACON PARTNERS, INC.
15791
JAY S. POTTER
1585351
NONE
NONE
AMERICAN BEACON PARTNERS
15791
AMERICAN BEACON PARTNERS, INC.
15791
N/A
15791
NONE
NONE
AMERICAN BEACON
15791
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC
15791
NONE
NONE
AMERICAN BEACON PARTNERS, INC.
15791
PAVEK INVESTMENTS, INC.
15791
BRENDAN W. LAKE
NONE
AMERICAN BEACON PARTNERS, INC.
15791
CHRISTOPHER M. SCHELLIN
5575534
NONE
NONE
AMERICAN BEACON PARTNERS, INC.
15791
NONE
NONE
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS
15791
AMERICAN BEACON PARTNERS
15791
AMERICAN BEACON PARTNERS, INC.
15791
BRIAN W. BERNIER
1298285
AMERICAN BEACON PARTNERS INC.
15791
AMERICAN BEACON PARTNERS INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS, INC.
15791
AMERICAN BEACON PARTNERS INC
15791
AMERICAN BEACON PARTNERS INC
15791
ALLIED BEACON PARTNERS, INC.
15791
ALLIED BEACON PARTNER, INC.
15791
NONE
NONE
AMERICAN BEACON PARTNERS, INC.
15791
ALLIED BEACON PARTNERS, INC.
15791
DENNIS BEEBY
1879834
ALLIED BEACON PARTNERS, INC.
15791
JAY S. POTTER
1585351
AMERICAN BEACON PARTNERS, INC.
15791
DENNIS BEEBY
1879834
AMERICAN BEACON PARTNERS, INC.
15791
JAY S. POTTER
1585351
AMERICAN BEACON PARTNERS, INC.
15791
JAY S. POTTER
1585351
AMERICAN CEACON PARTNERS
15791
JAMES HINTZ
1916767
ALLIED BEACON PARTNERS, INC.
15791
DENNIS BEEBY
1879834
People
Name
PINNACLE ROYALTIES, LTD. PINNACLE ROYALTIES, LTD.
PINNACLE ROYALTIES GP, INC. PINNACLE ROYALTIES GP, INC.
CHRISTOPHER TODD GARNER
RODNEY W. WREN
GSSF MASTER FUND, LP GSSF MASTER FUND, LP
STARLIGHT INVESTMENTS, L.L.C. STARLIGHT INVESTMENTS, L.L.C.
BILL D SAXON
BRENDON LAKE
PENNY BATTISTO
CHARLES FRY
CHAD CHRISTENSEN
GREGG CHRISTENSEN
ERIC MARLIN
JOE SIRAGUSA
DAN SHAEFFER
N/A ELIASON 1031 PROPERTIES CORPORATION
N/A ELIASON, INC.
DAVID J ELIASON
BRIAN E ELIASON
GLENN D HOLCOMBE
BRETT R KEENAN
B TODD MARNEY
JOSEPH CANDELLA
N/A BROOK HIGHLAND PLACE TRUST MANAGER LLC
N/A E1031-B FINANCE COMPANY LLC
JAY R GROOTERS
JOHN M BENNETT
JAMES E ROONEY
LARRY TUTTLE
LARRY N TUTTLE
JASON I. PUNZEL
TED THOMSEN
AMBER SENNE
STEVE THIRY
BRENT STUHLEY
STEPHEN J. ROSEME
N/A N/A PPB ADVISORS GP, LLC
BRENDAN W. LAKE
ROBERT L. LERNER
ANTHONY W. THOMPSON
JACK R. MAURER
GREG GENOVESE
JOHANNA HOWARD
DARRYLL GOODMAN
HARTMAN INCOME REIT MANAGEMENT, INC.
ALLEN ROBERT HARTMAN
WILLIAM P DIOGUARDI
STEVEN JAY MUELLER
ALEXANDER WALLING
SHAWN LECHIEN
ADAM DANIEL BARNARD
WILLIAM P. DIOGUARDI
WILLIAM DIOGUARDI
ROBERT S. BEHL
MARIO ROSATI
DAVID G. ARSCOTT
DAVID C. AUTH
MANISH CHAPEKAR
GLENDON E. FRENCH
HOWARD PALEFSKY
GARY CURTIS
WILLIAM OBEID
DANTE MASSARO
CHRISTOPHER LA MACK
MICHAEL SULLIVAN
JEFFREY WEISSMAN
WILLIAM STELMA
PHILIP HOSPOD
CHRISTOPHER T. MCDEVITT
JEFFREY G. MCGONEGAL
GREGORY PUSEY
SCOTT MENEFEE
ROBERT NOBLE
JOHN EVEY
JAY POTTER
HOWARD SMITH
N/AQ N/A SVO GP, LP
N/A N/A SVO GP, LLC
N/A N/A SHEA VENTURES, LLC
JOHN C. MORRISSEY
JASON PUNZEL
STEPHEN LAZARZ
N/A CRYSTAL CAPITAL PARTNERS, LLC
GEORGE BROD
STEVEN BROD
MARK FITZPATRICK
ALFREDO FROHLICH
BRYANT RICHARDSON
MICHAEL HOYER
JOHNNA HOWARD
WENDY WORCESTER
CHRISTOPHER M. LAL
MICHAEL N. LOUKAS
TERRENCE T. O-DONNELL
DAVID M. METTZ
TIMOTHY J. FLANAGAN
ROBERT A. BORIES
REESE B. PINNEY
ARTHUR W. SELIGMAN
GARY F. BROZOWSKI
GULF SOUTH HOLDING, INC. GULF SOUTH HOLDING, INC.
MARCELO LIMA
STANLEY RUSSEL CRAIG
SPENCER SEGURA
PAUL MEADOWS
CATALYST ENERGY, INC.
PAUL RYAN RODGERS
JANET R. O-MALLEY
DOUGLAS EDWARD JONES
WILLIAM RODGERS, JR.
JAMES PURCELL
SEAN CORRIGAN
MIKE LAFFERTY
BRYAN BELMER
KEN CONWAY
WILLIAM PENTON SEARS
JAMES MICHAEL SEARS
THOMAS LESLIE HICKS
MICHAEL LEWIS GALEF
DENNIS LOUIS ZOURAS
RALPH NUNEZ MORRIS
BARBARA GAIL MARCIN
EUGENE ROBERT TERRY
JAMES TORTI
JAY S. POTTER
DESMOND WHEATLEY
CHRISTOPHER CAULSON
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2014-11-25
D/A
$176,200.00
Yes
$0.00
No
2013-11-27
D/A
$176,200.00
Yes
$0.00
No
2013-02-13
D/A
$175,200.00
No
$0.00
No
SALES COMMISSIONS ALSO INCLUDE WARRANTS TO PURCHASE UP TO 5% OF THE TOTAL NUMBER OF SHARES SOLD IN THE OFFERING AT A EXERCISE PRICE OF $0.25 PER SHARE.
2013-02-13
D
$200,000.00
Yes
$0.00
No
6% AT AND OVER $500,000 AND 8% UNDER $500,000 PER INVESTOR. COMMISSIONS ALSO INCLUDE WARRANTS TO PURCHASE UP TO 10% OF THE TOTAL NUMBER OF SHARES SOLD IN THE OFFERING, EXERCISABLE AT $2.25 PER SHARE.
2012-10-18
D/A
$176,200.00
Yes
$0.00
No
2012-10-05
D
$654,000.00
Yes
$0.00
No
INCLUDES UP TO $436,000 FOR SALES COMMISSIONS, UP TO $87,200 FOR OFFERING MANAGEMENT FEES, AND UP TO $130,800 FOR NON ACCOUNTABLE EXPENSE REIMBURSEMENT
2012-06-06
D/A
$413,041.00
No
$0.00
No
THIS EXCLUDES INTERNAL MARKETING STAFF WHO ARE PAID COMPENSATION, BUT NOT COMMISSION, FOR THEIR DUTIES.
2012-05-31
D/A
$20,000.00
No
$0.00
No
UP TO AN ADDITIONAL $30,000 IN SALES COMMISSIONS WILL BE PAID UPON THE CONVERSION OF NOTES INTO SHARES OF COMMON STOCK.
2012-05-31
D
$30,000.00
No
$0.00
No
UP TO AN ADDITIONAL $45,000 IN SALES COMMISSIONS WILL BE PAID UPON THE CONVERSION OF NOTES INTO SHARES OF COMMON STOCK.
2012-04-10
D/A
$150,000.00
No
$0.00
No
INCLUDES UP TO $100,000 FOR SALES COMMISSIONS, UP TO $20,000 FOR ADVISORY FEES, AND UP TO $30,000 FOR NON ACCOUNTABLE EXPENSE REIMBURSEMENT.
2011-10-20
D/A
$195,430.00
No
$0.00
No
THIS EXCLUDES INTERNAL MARKETING STAFF WHO ARE PAID COMPENSATION, BUT NOT COMMISSION, FOR THEIR DUTIES.
2011-10-11
D
$10,000.00
No
$0.00
No
2011-09-26
D/A
$150,000.00
No
$0.00
No
INCLUDES UP TO $100,000 FOR SALES COMMISSIONS, UP TO $20,000 FOR ADVISORY FEES, AND UP TO $30,000 FOR NON ACCOUNTABLE EXPENSE REIMBURSEMENT.
2011-09-20
D/A
$6,250,000.00
Yes
$0.00
No
THIS ASSUMES THAT THE TOTAL OFFERING AMOUNT IS SOLD.
2011-09-14
D
$40,000.00
No
$0.00
No
2011-09-14
D
$150,000.00
No
$0.00
No
INCLUDES UP TO $100,000 FOR SALES COMMISSIONS, UP TO $20,000 FOR ADVISORY FEES, AND UP TO $30,000 FOR NON ACCOUNTABLE EXPENSE REIMBURSEMENT.
2011-08-22
D/A
$6,250,000.00
Yes
$0.00
No
THIS ASSUMES THAT THE TOTAL OFFERING AMOUNT IS SOLD.
2011-07-08
D/A
$143,384.00
Yes
$0.00
No
2011-06-28
D/A
$2,800,000.00
Yes
$0.00
No
2011-06-10
D
$420,000.00
Yes
$0.00
No
INCLUDES UP TO $280,000 FOR SALES COMMISSIONS, UP TO $56,000 FOR OFFERING MANAGEMENT FEES, AND UP TO $84,000 FOR NON ACCOUNTABLE EXPENSE REIMBURSEMENT.
2011-05-12
D/A
$250,000.00
Yes
$0.00
No
2011-04-04
D
$560,000.00
Yes
$0.00
No
AMERICAN BEACON WILL ALSO BE ISSUED A WRRANT TO PURCHASE 784,000 SHARES OF SERIES B-1 PREFERRED STOCK
2011-03-29
D/A
$250,000.00
Yes
$0.00
No
2011-03-28
D
$86,900.00
No
$0.00
No
2011-02-24
D/A
$287,000.00
Yes
$0.00
No
SELLING GROUP MEMBERS WILL RECEIVE A SELLING COMMISSION OF 7% OF THE GROSS PROCEEDS. ASPEN EQUITY PARTNERS, LLC RECEIVES 1% OF THE GROSS PROCEEDS FOR ACTING AS WHOLESALER.
2011-02-16
D/A
$1,630,688.00
Yes
$0.00
No
2011-02-16
D
$70,000.00
No
$0.00
No
2011-02-09
D
$155,000.00
No
$0.00
No
2011-02-02
D
$32,200.00
No
$0.00
No
2011-01-31
D/A
$2,800,000.00
Yes
$0.00
No
2011-01-14
D
$815,000.00
Yes
$0.00
No
2010-12-09
D
$152,750.00
No
$0.00
No
2010-12-01
D/A
$551,600.00
Yes
$0.00
No
2010-11-23
D
$50,000.00
Yes
$0.00
No
2010-11-23
D
$137,500.00
No
$0.00
No
2010-11-18
D
$82,900.00
No
$0.00
No
2010-10-14
D
$177,100.00
No
$0.00
No
2010-10-13
D
$351,000.00
Yes
$0.00
No
2010-09-27
D
$40,037.00
No
$0.00
No
2010-09-22
D
$550,000.00
No
$0.00
No
2010-09-14
D/A
$660,400.00
No
$0.00
No
2010-09-10
D/A
$0.00
No
$38,796.00
No
THIS EXCLUDES INTERNAL MARKETING STAFF WHO ARE PAID COMPENSATION, BUT NOT COMMISSION, FOR THEIR DUTIES.
2010-08-31
D
$149,500.00
No
$0.00
No
BROKER TO RECEIVE 5% OF TOTAL SALES.
2010-08-18
D/A
$3,500,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2010-07-29
D/A
$2,756,000.00
Yes
$0.00
No
2010-07-29
D/A
$2,800,000.00
Yes
$0.00
No
2010-07-28
D/A
$397,575.00
Yes
$0.00
No
INCLUDES UP TO $265,050 FOR SALES COMMISSIONS, UP TO $53,010 FOR DUE DILIGENCE FEES, AND UP TO $79,515 FOR NON ACCOUNTABLE EXPENSE REIMBURSEMENT.
2010-07-27
D
$143,000.00
No
$0.00
No
2010-07-23
D/A
$400,000.00
Yes
$0.00
No
2010-07-16
D/A
$400,000.00
Yes
$0.00
No
2010-07-01
D
$233,028.00
No
$0.00
No
BROKER TO RECEIVE 6% OF TOTAL SALES.
2010-06-24
D
$397,575.00
Yes
$0.00
No
INCLUDES UP TO $265,050 FOR SALES COMMISSIONS, UP TO $53,010 FOR DUE DILIGENCE FEES, AND UP TO $79,515 FOR ON ACCOUNTABLE EXPENSE REIMBURSEMENT.
2010-06-18
D
$287,000.00
Yes
$0.00
No
SELLING GROUP MEMBERS WILL RECEIVE A SELLING COMMISSION OF 7% OF THE GROSS PROCEEDS.
2010-06-16
D
$349,600.00
Yes
$0.00
No
2010-06-09
D/A
$250,000.00
Yes
$0.00
No
2010-05-26
D/A
$1,750,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2010-05-25
D/A
$1,750,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2010-05-25
D/A
$1,750,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2010-05-25
D/A
$3,500,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2010-05-12
D
$160,000.00
No
$0.00
No
2010-05-11
D/A
$3,500,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2010-05-06
D/A
$17,500,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2010-04-21
D
$57,500.00
No
$0.00
No
2010-04-15
D/A
$250,000.00
Yes
$0.00
No
2010-04-08
D/A
$321,300.00
No
$0.00
No
2010-03-11
D
$324,800.00
No
$0.00
No
2010-03-08
D
$135,000.00
No
$0.00
No
2010-03-03
D
$276,675.00
Yes
$0.00
No
INCLUDES UP TO $184,450 FOR SALES COMMISSIONS, UP TO $36,890 FOR DUE DILIGENCE FEES, AND UP TO $55,335 FOR NON ACCOUNTABLE EXPENSE REIMBURSEMENT.
2010-01-29
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-27
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-22
D/A
$2,756,000.00
Yes
$0.00
No
2010-01-04
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-29
D
$123,091.00
No
$0.00
No
2009-12-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-02
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-12
D/A
$2,756,000.00
Yes
$0.00
No
2009-11-10
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-03
D/A
$1,630,688.00
Yes
$0.00
No
2009-10-28
D
$17,500,000.00
Yes
$0.00
No
7% COMMISSION BASED ON MAXIMUM OFFERING
2009-10-19
D/A
$1,630,688.00
Yes
$0.00
No
2009-10-14
D/A
$2,756,000.00
Yes
$0.00
No
2009-10-06
D/A
$2,756,000.00
Yes
$0.00
No
2009-10-02
D/A
$383,350.00
Yes
$0.00
No
2009-09-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-09-16
D/A
$2,756,000.00
Yes
$0.00
No
2009-08-26
D/A
$2,756,000.00
Yes
$0.00
No
2009-08-25
D/A
$1,630,688.00
Yes
$0.00
No
2009-08-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-31
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-30
D/A
$383,350.00
Yes
$0.00
No
2009-07-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-17
D/A
$400,000.00
Yes
$0.00
No
2009-07-07
D/A
$383,350.00
Yes
$0.00
No
2009-06-26
D
$383,350.00
Yes
$0.00
No
2009-06-08
D/A
$250,000.00
Yes
$0.00
No
2009-05-28
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-27
D
$236,779.00
No
$0.00
No
2009-05-14
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-07
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-09
D/A
$1,630,688.00
Yes
$0.00
No
2009-03-26
D/A
$1,386,888.00
Yes
$275,636.00
Yes
APPROXIMATELY $133,596 OF THESE FEES, WHICH ARE YET TO BE PAID, ARE SUBJECT TO FUTURE SALES.
2009-03-18
D
$4,000.00
Yes
$0.00
No
REPRESENTS INCEPTION TO DATE.
2009-03-17
D/A
$1,630,688.00
Yes
$0.00
No
2009-03-10
D/A
$491,520.00
Yes
$0.00
No
ASSUMING MAXIMUM OFFERING AMOUNT SOLD
2009-03-05
D/A
$1,630,688.00
Yes
$0.00
No
2009-02-09
D
$491,520.00
Yes
$0.00
No
ASSUMING MAXIMUM OFFERING AMOUNT SOLD
2009-02-06
D/A
$1,630,688.00
Yes
$0.00
No
2009-01-23
D
$1,630,688.00
Yes
$0.00
No