Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

QA3 FINANCIAL CORPORATION
14754
JEFFREY NESSETH
1983482
QA3 FINANCIAL CORP.
14754
JEFF NESSETH
1983482
QA3 FINANCIAL CORPORATION
14754
JEFF NESSETH
1983482
QA3 FINANCIAL CORP.
14754
JEFF NESSETH
1983482
QA3 FINANCIAL CORP.
14754
JEFFREY R. NESSETH
1983482
ALLIED BEACON PARTNERS
46227
JEFF NESSETH
1983482
INDEPENDENT FINANCIAL GROUP
7717
JEFF NESSETH
1983482
INDEPENDENT FINANCIAL GROUP, LLC
7717
JEFF NESSETH
1983482
INDEPENDENT FINANCIAL GROUP, LLC
7717
JEFFREY NESSETH
1983482
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-12-28
D/A
$262,500.00
Yes
$0.00
No
2016-06-10
D/A
$10,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2016-04-01
D
$10,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2015-12-08
D/A
$15,000,000.00
Yes
$0.00
No
SALES COMMISSIONS ARE PAID FROM THE OFFERING PROCEEDS.
2015-12-04
D/A
$15,000,000.00
Yes
$0.00
No
SALES COMMISSIONS ARE PAID FROM THE OFFERING PROCEEDS.
2015-12-04
D
$15,000,000.00
Yes
$0.00
No
SALES COMMISSIONS ARE PAID FROM THE OFFERING PROCEEDS.
2013-01-18
D/A
$436,950.00
Yes
$0.00
Yes
2012-06-05
D
$256,500.00
Yes
$0.00
Yes
2012-01-04
D
$679,050.00
Yes
$0.00
Yes
2011-12-22
D
$279,000.00
Yes
$0.00
Yes
2011-12-20
D
$203,400.00
Yes
$0.00
Yes
2011-12-15
D
$153,000.00
Yes
$0.00
Yes
2011-12-05
D
$72,900.00
Yes
$0.00
Yes
2011-11-16
D
$34,650.00
Yes
$0.00
Yes
2011-08-30
D/A
$132,750.00
Yes
$0.00
Yes
2011-03-15
D/A
$8,743,000.00
Yes
$0.00
No
2011-03-15
D/A
$8,743,000.00
Yes
$0.00
No
2011-01-07
D/A
$892,710.00
Yes
$0.00
Yes
2010-12-23
D/A
$47,250.00
Yes
$0.00
Yes
2010-11-16
D/A
$454,207.00
Yes
$0.00
Yes
2010-11-12
D/A
$176,400.00
Yes
$0.00
Yes
2010-09-23
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-08-02
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-06-24
D/A
$5,250,000.00
Yes
$0.00
No
ESTIMATED TO BE PAID BASED ON TOTAL OFFERING AMOUNT
2010-06-16
D/A
$5,250,000.00
Yes
$0.00
No
ESTIMATED TO BE PAID BASED ON TOTAL OFFERING AMOUNT
2010-06-14
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-06-04
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-05-13
D/A
$5,250,000.00
Yes
$0.00
No
ESTIMATED TO BE PAID BASED ON TOTAL OFFERING AMOUNT
2010-03-18
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-03-17
D/A
$8,743,000.00
Yes
$0.00
No
2010-03-17
D/A
$8,743,000.00
Yes
$0.00
No
2009-03-17
D/A
$8,743,000.00
Yes
$0.00
No
2009-03-17
D/A
$8,743,000.00
Yes
$0.00
No