Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

LPL FINANCIAL CORPORATION
6413
SALLY W. NG
1915190
LPL FINANCIAL CORPORATION
6413
SALLY W. NG
1915190
LPL FINANCIAL LLC
6413
SALLY W. NG
1915190
LPL FINANCIAL LLC
6413
SALLY NG
1915190
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-04-16
D/A
$4,195,208.00
Yes
$0.00
No
2024-04-16
D/A
$4,195,208.00
Yes
$0.00
No
2014-08-19
D/A
$773,339.00
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.
2013-09-10
D/A
$737,021.00
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.
2013-08-01
D/A
$737,021.00
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.
2013-07-16
D/A
$737,021.00
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.
2013-07-02
D/A
$737,021.00
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.
2013-06-05
D/A
$737,021.00
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.
2013-05-13
D
$737,021.00
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.
2013-03-04
D/A
$967,761.00
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.
2013-01-29
D/A
$967,761.00
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.
2013-01-18
D/A
$967,761.00
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.
2013-01-09
D/A
$967,761.00
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.
2011-01-11
D/A
$867,300.00
No
$0.00
No
2010-11-03
D/A
$2,828,429.00
No
$0.00
No
2010-11-02
D/A
$867,300.00
No
$0.00
No
2010-10-15
D/A
$867,300.00
No
$0.00
No
2010-04-13
D/A
$2,828,429.00
No
$0.00
No
2010-01-07
D/A
$2,828,429.00
No
$0.00
No
2009-09-23
D/A
$2,828,429.00
No
$0.00
No
2009-08-19
D/A
$2,828,429.00
No
$0.00
No