Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

THE STRATEGIC FINANCIAL ALLIANCE INC.
126514
WARREN D. PREHMUS
1875927
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
WARREN D. PREHMUS
1875927
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
WARREN PREHMUS
1875927
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
WARREN DEAN PREHMUS
1875927
WARREN DEAN PREHMUS
1875927
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
WARREN D. PREHMUS
1875927
THE STRATEGIC FINANCIAL ALLIANCE INC
126514
WARREN D PREHMUS
1875927
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
WARREN D PREHMUS
1875927
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-09-17
D/A
$7,412,156.00
Yes
$0.00
No
2025-01-15
D/A
$9,472,546.00
Yes
$0.00
No
2024-09-25
D/A
$8,740,104.00
Yes
$0.00
No
2024-09-25
D/A
$3,116,566.00
Yes
$0.00
No
2023-09-27
D/A
$13,500,000.00
Yes
$0.00
No
2022-02-16
D/A
$171,797.00
No
$0.00
No
2022-02-01
D/A
$170,184.00
No
$0.00
No
2022-01-24
D/A
$160,184.00
No
$0.00
No
2022-01-13
D/A
$159,464.00
No
$0.00
No
2022-01-04
D/A
$150,464.00
No
$0.00
No
2021-12-21
D/A
$132,064.00
No
$0.00
No
2021-12-14
D/A
$127,064.00
No
$0.00
No
2021-11-23
D/A
$117,064.00
No
$0.00
No
2021-11-05
D/A
$67,064.00
No
$0.00
No
2020-01-08
D
$855,680.00
No
$0.00
No
SELLING COMMISSIONS: $457,520; DUE DILIGENCE FEES: $99,540; MARKETING ALLOWANCES: $132,720; MANAGING BROKER FEE: $165,900
2019-12-19
D
$1,072,500.00
No
$0.00
No
INCLUSIVE OF SELLING COMMISSIONS ($577,500), DUE DILIGENCE FEES ($123,750), MARKETING ALLOWANCES ($165,000) AND MANAGING BROKER DEALER FEES $206,250)
2014-01-23
D/A
$2,485,959.00
No
$0.00
No
2014-01-08
D
$126,699.00
Yes
$0.00
No
COMMISSIONS FROM SALES OF SECURITIES ARE REFLECTED ABOVE. ADD. FEES WERE PAID TO ONE OR MORE PERSONS IDENTIFIED IN ITEM 12 FOR DUE DILIGENCE FEES, MANAGING BD FEES AND WHOLESALE FEES OF APPROX. $261,177
2011-02-02
D/A
$2,805,827.00
No
$0.00
No
2010-10-18
D/A
$2,975,000.00
Yes
$0.00
No
2010-03-03
D/A
$3,250,000.00
Yes
$0.00
No
BASED ON MAXIMUM OFFERING AMOUNT