Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CENTAURUS FINANCIAL, INC.
30833
JAMES A. POINDEXTER
1867899
CENTAURUS FINANCIAL, INC.
30833
JAMES M. POINDEXTER
1867899
CENTAURUS FINANCIAL, INC.
30833
JAMES M. POINDEXTER
1867899
MCDERMOTT INVESTMENT SERVICES, LLC
154926
JAMES MICHAEL POINDEXTER
1867899
MCDERMOTT INVESTMENT SERVICES, LLC
154926
JAMES POINDEXTER
1867899
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-08-12
D/A
$6,718,821.00
Yes
$0.00
No
2020-03-30
D/A
$4,169,375.00
Yes
$0.00
No
2013-08-20
D/A
$2,124,585.00
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.
2013-06-19
D/A
$2,124,585.00
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.
2013-04-09
D/A
$2,124,585.00
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.
2013-02-01
D/A
$514,060.00
Yes
$0.00
No
2013-01-09
D/A
$2,124,585.00
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.
2012-12-28
D/A
$2,124,585.00
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.
2012-12-12
D/A
$2,124,585.00
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.
2012-11-02
D/A
$2,124,585.00
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.
2012-10-30
D/A
$1,258,417.00
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.
2012-10-24
D/A
$2,124,585.00
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.
2012-10-10
D/A
$2,124,585.00
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.
2012-09-26
D/A
$2,124,585.00
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.
2012-09-04
D/A
$365,405.00
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.
2012-09-04
D/A
$2,124,585.00
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.
2012-09-04
D/A
$1,258,417.00
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.
2012-08-17
D/A
$365,405.00
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.
2012-08-09
D/A
$2,124,585.00
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.
2012-08-09
D/A
$1,258,417.00
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.
2012-06-27
D/A
$365,405.00
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.
2011-11-04
D/A
$735,000.00
Yes
$0.00
No
THIS RESPONSE IS BASSED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2011-09-21
D/A
$735,000.00
No
$0.00
No
2011-08-24
D/A
$735,000.00
No
$0.00
No
2011-08-15
D/A
$1,467,200.00
No
$0.00
No
2011-08-10
D/A
$735,000.00
No
$0.00
No
2011-07-19
D/A
$514,060.00
Yes
$0.00
No
2011-06-27
D/A
$735,000.00
No
$0.00
No
2011-06-10
D
$514,060.00
Yes
$0.00
No
2011-06-09
D/A
$1,467,200.00
No
$0.00
No
2011-05-26
D/A
$735,000.00
No
$0.00
No
2011-05-26
D/A
$1,467,200.00
No
$0.00
No