Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NATIONAL SECURITIES CORPORATION
7569
JAMES C. CIOCIA
1619245
NATIONAL SECURITIES CORPORATION
7569
JAMES CIOCIA
1619245
NATIONAL SECURITIES CORPORATION
7569
JAMES C. CIOCIA
1619245
JIM CIOCIA
1619245
NATIONAL SECURITIES CORPORATION
7569
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-01-21
D/A
$3,417,245.00
Yes
$0.00
No
2017-07-17
D/A
$4,467,881.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-11-18
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-10-11
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-10-11
D/A
$4,467,881.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-08-19
D/A
$4,467,881.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-06-21
D/A
$4,467,881.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-06-09
D/A
$4,467,881.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-05-20
D/A
$4,467,881.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-04-13
D/A
$4,467,881.00
Yes
$0.00
No
2016-03-23
D/A
$4,467,881.00
Yes
$0.00
No
2016-03-11
D/A
$2,318,333.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2016-03-07
D/A
$4,467,881.00
Yes
$0.00
No
2016-02-05
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-01-21
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-12-22
D/A
$603,177.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.