Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

BERTHEL, FISHER + COMPANY FINANCIAL SERVICES, INC.
13609
LAWRENCE W. WARREN
1694288
BERTHEL, FISHER + COMPANY FINANCIAL SERVICES, INC.
13609
LAWRENCE W. WARREN
1694288
BERTHEL, FISHER AND COMPANY FINANCIAL SERVICES, INC.
13609
LAWRENCE W. WARREN
1694288
BERTHEL, FISHER + COMPANY FINANCIAL SERVICES, INC.
13609
LAWRENCE W. WARREN
1694288
BERTHEL FISHER + COMPANY FINANCIAL SERVICES, INC.
13609
LAWRENCE W. WARREN
1694288
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2013-01-09
D/A
$1,839,124.00
No
$0.00
No
2012-12-11
D/A
$4,241,750.00
Yes
$0.00
No
BASED ON A MAXIMUM OFFERING OF $44,650,000
2012-10-31
D/A
$4,241,750.00
Yes
$0.00
No
BASED ON A MAXIMUM OFFERING OF $44,650,000
2012-04-04
D/A
$1,024,562.00
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.
2011-12-09
D/A
$1,050,000.00
Yes
$0.00
No
2011-12-09
D/A
$1,024,562.00
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.
2010-12-28
D/A
$4,896,000.00
Yes
$0.00
No
2010-12-20
D/A
$4,896,000.00
Yes
$0.00
No
2010-12-02
D/A
$4,896,000.00
Yes
$0.00
No
2010-11-24
D/A
$4,896,000.00
Yes
$0.00
No
2010-10-18
D/A
$4,896,000.00
Yes
$0.00
No
2010-09-30
D/A
$4,896,000.00
Yes
$0.00
No
2010-09-20
D/A
$4,896,000.00
Yes
$0.00
No
2010-08-31
D/A
$4,896,000.00
Yes
$0.00
No
2010-08-18
D/A
$4,896,000.00
Yes
$0.00
No
2010-07-14
D/A
$4,896,000.00
Yes
$0.00
No
2010-07-07
D/A
$4,896,000.00
Yes
$0.00
No
2010-06-25
D/A
$4,896,000.00
Yes
$0.00
No
2009-06-26
D/A
$150,315.00
Yes
$0.00
Yes
CALCULATED ON THE OFFERING AMOUNT OF $1,822,000.