Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
VICTOR HAZARD
1617276
H.D. VEST INVESTMENT SECURITIES INC
13686
H.D. VEST INVESTMENT SECURITIES, INC
13686
VICTOR HAZARD
1617276
HD VEST INVESTMENT SERVICES
13686
VICTOR JAMES HAZARD III
1617276
AVANTAX INVESTMENT SERVICES, INC.
13686
VICTOR HAZARD
1617276
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$32,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
D/A
$2,288,992.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,288,992.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,288,992.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,288,992.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,288,992.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,288,992.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,288,992.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
