Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ADVANCED EQUITIES INC.
35545
GORDON FALLONE
1767760
ADVANCED EQUITIES INC.
35545
GORDON FALLONE
1767760
ADVANCED EQUITIES INC.
35545
GORDON FALLONE
1767760
ADVANCED EQUITIES INC.
35545
GORDON FALLONE
1767760
ADVANCED EQUITIES, INC.
35545
GORDON FALLONE
1767760
ROTH CAPITAL PARTNERS, LLC
15407
GORDON FALLONE
1767760
UHLMANN PRICE SECURITIES, LLC
42854
GORDON FALLONE
1767760
UHLMANN PRICE SECURITIES, LLC
42854
GORDON FALLONE
1767760
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-03-14
D
$167,088.00
No
$0.00
No
2022-11-07
D/A
$197,085.00
No
$0.00
No
2022-11-07
D
$200,085.00
No
$0.00
No
2013-11-05
D/A
$31,000.00
Yes
$0.00
No
2012-11-07
D/A
$1,870,334.00
No
$0.00
No
2012-06-28
D
$162,661.00
No
$0.00
No
2012-04-27
D/A
$116,184.00
No
$0.00
No
2012-04-27
D/A
$631,267.00
No
$0.00
No
2012-04-27
D/A
$181,526.00
No
$0.00
No
2012-04-05
D/A
$82,982.00
No
$0.00
No
2012-04-05
D/A
$593,924.00
No
$0.00
No
2012-04-05
D/A
$110,535.00
No
$0.00
No
2012-03-28
D/A
$43,754.00
No
$0.00
No
2012-03-28
D/A
$570,120.00
No
$0.00
No
2012-03-28
D/A
$17,758.00
No
$0.00
No
2012-03-23
D
$13,258.00
No
$0.00
No
2012-03-23
D/A
$17,660.00
No
$0.00
No
2012-03-23
D/A
$530,160.00
No
$0.00
No
2012-03-16
D/A
$471,660.00
No
$0.00
No
2012-03-06
D
$332,910.00
No
$0.00
No
2012-01-06
D/A
$1,258,355.00
No
$0.00
No
2011-12-30
D/A
$293,403.00
No
$0.00
No
2011-12-23
D/A
$279,507.00
No
$0.00
No
2011-12-05
D/A
$1,042,681.00
No
$0.00
No
2011-11-29
D/A
$1,034,505.00
No
$0.00
No
2011-11-29
D/A
$165,566.00
No
$0.00
No
2011-11-29
D/A
$53,898.00
No
$0.00
No
2011-11-29
D/A
$260,227.00
No
$0.00
No
2011-11-21
D/A
$165,566.00
No
$0.00
No
2011-11-21
D/A
$248,312.00
No
$0.00
No
2011-11-04
D/A
$217,265.00
No
$0.00
No
2011-10-31
D/A
$205,057.00
No
$0.00
No
2011-10-31
D/A
$873,890.00
No
$0.00
No
2011-10-21
D/A
$106,198.00
No
$0.00
No
2011-10-21
D/A
$602,991.00
No
$0.00
No
2011-10-21
D/A
$25,273.00
No
$0.00
No
2011-10-17
D/A
$544,463.00
No
$0.00
No
2011-10-14
D/A
$82,255.00
No
$0.00
No
2011-09-30
D/A
$48,232.00
No
$0.00
No
2011-09-26
D/A
$48,232.00
No
$0.00
No
2011-09-16
D/A
$418,537.00
No
$0.00
No
2011-08-22
D/A
$220,910.00
No
$0.00
No
2011-08-10
D/A
$26,462.00
No
$0.00
No
2011-08-03
D/A
$115,835.00
No
$0.00
No
2011-08-01
D/A
$162,546.00
No
$0.00
No
2011-08-01
D/A
$21,962.00
No
$0.00
No
2011-07-26
D/A
$17,462.00
No
$0.00
No
2011-07-26
D
$121,057.00
No
$0.00
No
2011-07-19
D/A
$11,830.00
No
$0.00
No
2011-07-12
D/A
$152,432.00
No
$0.00
No
2011-07-07
D/A
$101,838.00
No
$0.00
No
2011-07-07
D/A
$152,432.00
No
$0.00
No
2011-06-24
D/A
$135,028.00
No
$0.00
No
2011-05-31
D
$74,397.00
No
$0.00
No
2011-05-31
D/A
$75,605.00
No
$0.00
No
2011-05-10
D/A
$874,286.00
No
$0.00
No
2011-05-03
D
$592,569.00
No
$0.00
No
2011-04-19
D/A
$59,617.00
No
$0.00
No
2011-04-19
D/A
$222,842.00
No
$0.00
No
2011-04-12
D
$172,876.00
No
$0.00
No
2011-03-16
D/A
$214,339.00
No
$0.00
No
2011-03-16
D/A
$769,889.00
No
$0.00
No
2011-03-07
D/A
$728,681.00
No
$0.00
No
2011-03-07
D/A
$183,264.00
No
$0.00
No
2011-02-17
D/A
$512,660.00
No
$0.00
No
2011-02-14
D/A
$123,660.00
No
$0.00
No
2011-02-07
D/A
$374,207.00
No
$0.00
No
2011-02-07
D/A
$68,343.00
No
$0.00
No
2011-01-31
D
$26,405.00
No
$0.00
No
2011-01-25
D/A
$1,026,016.00
No
$0.00
No
2010-12-27
D/A
$318,522.00
No
$0.00
No
2010-12-13
D/A
$208,482.00
No
$0.00
No
2010-11-08
D/A
$24,601.00
No
$0.00
No
2010-10-05
D/A
$10,290.00
No
$0.00
No
2010-09-13
D/A
$29,928.00
No
$0.00
No
2010-09-02
D/A
$170,888.00
No
$0.00
No
2010-08-26
D/A
$363,246.00
No
$0.00
No
2010-08-10
D/A
$148,246.00
No
$0.00
No
2010-08-10
D/A
$14,476.00
No
$0.00
No
2010-07-16
D/A
$130,079.00
No
$0.00
No
2010-07-16
D/A
$8,278.00
No
$0.00
No
2010-07-06
D/A
$92,566.00
No
$0.00
No
2010-07-06
D
$5,363.00
No
$0.00
No
2010-06-24
D
$22,471.00
No
$0.00
No
2010-06-14
D/A
$574,658.00
No
$0.00
No
2010-06-09
D/A
$249,605.00
No
$0.00
No
2010-06-08
D/A
$552,739.00
No
$0.00
No
2010-05-27
D/A
$169,709.00
No
$0.00
No
2010-05-21
D
$264,937.00
No
$0.00
No
2010-05-20
D
$129,016.00
No
$0.00
No
2010-05-03
D/A
$23,195.00
No
$0.00
No
2010-04-21
D/A
$0.00
No
$0.00
No
AS OF 4/21/2010, ADVANCED EQUITIES INC. WILL BE PAID $285,350.62 AND FIRST ALLIED SECURITIES INC. WILL BE PAID $58,288.00 BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS III, LLC.
2010-04-01
D/A
$23,490.00
No
$0.00
No
2010-03-16
D/A
$1,432,329.00
Yes
$0.00
No
2010-03-15
D/A
$0.00
No
$0.00
No
AS OF 3/15/2010, ADVANCED EQUITIES INC. WILL BE PAID $211,837.81 AND FIRST ALLIED SECURITIES INC. WILL BE PAID $67,731.15 BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS III, LLC.
2010-03-10
D
$1,698.00
No
$0.00
No
2010-03-10
D
$13,584.00
No
$0.00
No
2010-03-04
D/A
$1,334,908.00
Yes
$0.00
No
2010-03-02
D/A
$37,612.00
No
$0.00
No
2010-03-01
D/A
$1,029,642.00
No
$0.00
No
2010-02-19
D/A
$948,147.00
Yes
$0.00
No
2010-01-14
D/A
$736,776.00
Yes
$0.00
No
2010-01-05
D/A
$0.00
No
$0.00
No
AS OF 1/5/2010, ADVANCED EQUITIES, INC. WILL BE PAID $812,084.12 AND FIRST ALLIED SECURITIES, INC. WILL BE PAID $300,000.00, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
2009-12-21
D/A
$341,960.00
Yes
$0.00
No
2009-12-21
D/A
$557,508.00
Yes
$0.00
No
2009-12-15
D/A
$0.00
No
$0.00
No
AS OF 11/23/2009, ADVANCED EQUITIES, INC. WILL BE PAID $774,385.60 AND FIRST ALLIED SECURITIES, INC. WILL BE PAID $316,000.00, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
2009-11-16
D/A
$413,496.00
Yes
$0.00
No
2009-11-05
D/A
$294,229.00
Yes
$0.00
No
2009-10-26
D/A
$256,093.00
Yes
$0.00
No
2009-10-22
D/A
$302,086.00
Yes
$0.00
No
2009-10-16
D/A
$152,144.00
Yes
$0.00
No
2009-10-09
D/A
$175,878.00
Yes
$0.00
No
2009-10-09
D/A
$112,718.00
Yes
$0.00
No
2009-09-29
D
$54,208.00
Yes
$0.00
No
2009-09-29
D
$100,908.00
Yes
$0.00
No
2009-08-21
D/A
$12,161.00
Yes
$0.00
No
2009-07-22
D/A
$800,615.00
Yes
$0.00
No
2009-07-08
D
$224,443.00
Yes
$0.00
No
2009-07-06
D/A
$486,825.00
Yes
$0.00
No
2009-06-23
D/A
$11,886.00
Yes
$0.00
No
2009-06-01
D/A
$291,804.00
Yes
$0.00
No