Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

JAMES NELSON
1931451
KALOS CAPITAL, INC.
44337
JAMES NELSON
1931451
KALOS CAPITAL, INC.
44337
REALTA EQUITIES, INC.
23769
JAMES NELSON
1931451
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-12
D/A
$6,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-01-05
D
$1,010,404.00
No
$0.00
No
INCLUSIVE OF $556,063.10 SELLING COMMISSIONS; $120,769.28 DUE DILIGENCE FEES; $166,786.20 MARKETING/WHOLESALE FEES; AND $166,786.20 MANAGING BROKER FEES.
2021-02-11
D/A
$1,182,415.00
No
$0.00
No
SALES COMMISSIONS: $614,968; BROKER DEALER DUE DILIGENCE FEES: $153,497; MANAGING BROKER FEE: $335,120; MANAGING BROKER MARKETING FEES: $78,830
2021-01-12
D
$1,182,415.00
No
$0.00
No
SALES COMMISSIONS: $614,968; BROKER DEALER DUE DILIGENCE FEES: $153,497; MANAGING BROKER FEE: $335,120; MANAGING BROKER MARKETING FEES: $78,830
2020-01-09
D
$1,395,865.00
No
$0.00
No
$337,410 MANAGING BROKER AND MARKETING FEES PAID TO SEQUENCE FINANCIAL SPECIALISTS; COMMISSIONS: $963,307 -SEQUENCE FINANCIAL SPECIALISTS; $51,038 -KALOS CAPITAL; $12,210 -KOVACK SECURITIES; $6,600 -PATRICK CAPITAL MARKETS; $25,300 -G.A. REPPLE + CO.