Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAROLINA FINANCIAL SECURITIES, LLC
1881584
JEROME E CONNOLLLY
1881584
ASHTON STEWART + CO. INC.
112386
JEROME E CONNOLLY
1881584
ASHTON STEWART + CO., INC.
112386
JEROME E. CONNOLLY
1881584
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$82,500.00
No
$60,000.00
No
D/A
$82,500.00
No
$60,000.00
No
D/A
$150,000.00
Yes
$0.00
No
D
$12,500.00
Yes
$0.00
No
D/A
$180,000.00
Yes
$0.00
No
2.0% OF LOAN PARTICIPATION FOR INVESTORS CURRENTLY PARTICIPATING IN COMPANY INDEBTEDNESS AND 4.0% FOR PARTICIPATION BY NEW INVESTORS. UP TO 50% OF SUCH PLACEMENT FEES MAY BE PAID TO CAROFIN, LLC FOR ITS ASSISTANCE IN THE PLACEMENT OF THE NOTES.