Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NATIONAL SERCURITES CORPORATION
7569
DEBORAH E. O-CONNELL
1760230
NATIONAL SECURITIES CORPORATION
7569
DEBORAH O-CONNELL
1760230
DEBORAH O-CONNELL
1760230
NATIONAL SECURITIES CORP
7569
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-09-26
D/A
$2,602,071.00
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.
2017-09-12
D/A
$2,602,071.00
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.
2017-08-29
D/A
$2,602,071.00
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.
2017-08-14
D/A
$2,602,071.00
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.
2017-08-02
D/A
$2,602,071.00
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.
2017-07-28
D/A
$1,637,070.00
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.
2017-07-20
D/A
$2,602,071.00
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.
2017-07-06
D/A
$2,602,071.00
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.
2017-01-06
D/A
$1,637,070.00
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.
2016-10-27
D/A
$1,637,070.00
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.
2016-10-13
D/A
$1,637,070.00
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.
2016-10-05
D/A
$3,081,990.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2016-09-02
D/A
$1,637,070.00
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.
2016-08-16
D/A
$1,637,070.00
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.
2016-08-04
D/A
$1,637,070.00
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.
2016-07-20
D/A
$1,637,070.00
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.
2016-07-06
D/A
$1,637,070.00
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.
2016-06-17
D/A
$1,637,070.00
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.
2016-06-03
D/A
$1,637,070.00
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.
2016-05-19
D
$1,637,070.00
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.