Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

GERALD R. NOWOTNY
1761926
INNOVATION PARTNERS, LLC
146344
INNOVATION PARTNERS
146344
GERALD NOWOTNY
1761926
INNOVATION PARTNERS LLC
146344
GERALD RAYMOND NOWOTNY
1761926
GERALD NOWOTNY
1761926
INNOVATION PARTNERS
146344
GERALD R. NOWOTNY
1761926
INNOVATION PARTNERS, LLC
146344
GERALD R. NOWOTNY
1761926
INNOVATION PARTNERS, LLC
146344
GERALD R. NOWOTNY
1761926
UNITED SECURITIES ALLIANCE, INC.
36487
GERALD R. NOWOTNY
1761926
ROYAL ALLIANCE ASSOCIATES, INC.
23131
GERALD NOWOTNY
1761926
INNOVATION PARTNERS, LLC
146344
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-05-08
D/A
$5,934.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2023-05-08
D/A
$2,655.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2022-05-17
D/A
$72,182.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2022-04-13
D/A
$4,672.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2020-07-13
D/A
$1,558.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2020-04-01
D/A
$2,237.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2019-06-07
D/A
$164,028.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-06-07
D/A
$3,600.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-06-07
D/A
$36,823.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-06-05
D/A
$159.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-06-05
D/A
$20,580.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2019-06-05
D/A
$54,164.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2019-05-28
D/A
$1,503.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2019-05-28
D/A
$1,071.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-05-10
D/A
$15,290.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2018-07-19
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2018-04-27
D/A
$2,641.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2018-04-17
D/A
$803.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2018-01-03
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2017-04-21
D/A
$4,091.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2017-03-30
D/A
$169.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2017-03-30
D/A
$2,514.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-07-28
D/A
$36,823.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-07-26
D/A
$3,600.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-07-21
D/A
$43,340.00
No
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF THE PREMIUM RECEIVED BY THE ISSUER. LILAC ALSO PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-07-21
D/A
$164,028.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-07-21
D/A
$32,815.00
No
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF THE PREMIUM RECEIVED BY THE ISSUER. LILAC ALSO PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-06-09
D/A
$47,097.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-06-09
D/A
$98,799.00
No
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF THE PREMIUM RECEIVED BY THE ISSUER. LILAC ALSO PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-04-13
D/A
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2016-04-04
D/A
$786.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2016-04-04
D/A
$16,578.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2016-03-31
D/A
$21.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-03-15
D/A
$14,020.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS FEES. LILAC PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2016-01-11
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. PFLAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2015-07-15
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. PFLAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2015-06-30
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. PFLAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2015-01-22
D/A
$7,557.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS FEES. PFLAC PAYS SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2014-10-14
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2013-10-11
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2012-10-11
D
$0.00
No
$0.00
No
2012-01-12
D/A
$60,000.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDER-S FEES. HLIC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2011-12-06
D
$10,000.00
No
$0.00
No
2011-11-28
D
$3,500.00
No
$0.00
No
2011-03-03
D/A
$60,000.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDER-S FEES. HLIC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.