Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CARLETON MCKENNA + CO., LLC
159230
PAUL CARLETON
707186
NONE
NONE
CARLETON MCKENNA ADVISORS, LLC
159230
CARLETON MCKENNA ADVISORS, LLC
159230
CHRISTOPHER J. MCKENNA
1704158
CARLETON MCKENNA ADVISORS, LLC
159230
PAUL CARLETON
707186
PAUL H. CARLETON
707186
CARLETON MCKENNA ADVISORS LLC.
159230
CARLETON MCKENNA ADVISORS, LLC
159230
PAUL CARLETON
707186
CARLETON MCKENNA ADVISORS, LLC
159230
CHRIS MCKENNA
1704158
NONE
NONE
CARLETON MCKENNA ADVISORS, LLC
159230
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-11-02
D
$0.00
Yes
$500,000.00
Yes
2016-12-27
D/A
$0.00
No
$0.00
No
COMBINATION OF RETAINER AND COMMISSION AND FINAL AMOUNT DEPENDS ON RESULTS OF OFFERING
2016-07-27
D
$4,000.00
No
$0.00
No
$2,000 IN CASH, BALANCE PAID BY DELIVERY OF FIVE-YEAR WARRANT TO PURCHASE COMMON EQUITY,
2016-07-19
D
$280,000.00
Yes
$0.00
No
7% COMMISSION ON SALES TO INVESTORS FOUND BY BROKER-DEALER (BASED ON ESTIMATED MAXIMUM)
2016-05-05
D/A
$19,250.00
Yes
$0.00
No
SUCH COMMISSION IS SUBJECT TO FUTURE CONTINGENCIES.
2016-04-25
D
$8,750.00
Yes
$0.00
No
SUCH COMMISSION IS SUBJECT TO FUTURE CONTINGENCIES.
2016-02-12
D
$7,000.00
No
$0.00
No
COMPENSATION TO CARLETON MCKENNA ADVISORS, LLC,FINRA MEMBER, WILL BE APPROXIMATELY 7% FOR INDIVIDUALS AND FAMILY OFFICES AND 5% FOR INSTITUTIONAL INVESTORS. REGISTERED PERSONS OF CMA OTHER THAN PAUL CARLETON MAY ALSO BE PAID COMPENSATION.