Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAPITAL FINANCIAL SERVICES, INC.
8408
JAMES A BATTEN
1960868
CAPITAL FINANCIAL SERVICES, INC.
8408
JAMES BATTEN
1960868
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2010-03-09
D/A
$1,350,000.00
Yes
$0.00
Yes
2010-01-19
D/A
$1,350,000.00
Yes
$0.00
Yes
2009-04-22
D/A
$1,661,017.00
Yes
$0.00
Yes