Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

LPL FINANCIAL CORPORATION
6413
DOUGLAS E. LOCKWOOD
1703831
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2010-11-03
D/A
$2,828,429.00
No
$0.00
No
2010-04-13
D/A
$2,828,429.00
No
$0.00
No
2010-01-07
D/A
$2,828,429.00
No
$0.00
No
2009-12-01
D/A
$1,739,400.00
No
$0.00
No
2009-09-23
D/A
$2,828,429.00
No
$0.00
No
2009-09-08
D/A
$1,739,400.00
No
$0.00
No
2009-08-19
D/A
$2,828,429.00
No
$0.00
No