Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

LIGHTHOUSE CAPITAL
41812
STEPHEN RICE
2023704
COLORADO FINANCIAL SERVICE CORPORATION
104343
STEVE RICE
2023704
COLORADO FINANCIAL SERVICES CORP.
22734
STEPHEN M. RICE
2023704
COLORADO FINANCIAL SERVICE CORPORATION
104343
STEVE RICE
2023704
COLORADO FINANCIUAL SERVICE CORPORATION
104343
STEPHEN RICE
2023704
STEVE RICE
2023704
COLORADO FINANCIAL SERVICES CORPORATION
104343
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2018-08-20
D/A
$2,191,000.00
Yes
$0.00
No
2016-05-02
D/A
$2,750,000.00
Yes
$0.00
No
2015-08-17
D
$140,710.00
Yes
$0.00
No
2014-11-18
D/A
$2,750,000.00
Yes
$0.00
No
2014-09-02
D/A
$2,750,000.00
Yes
$0.00
No
2014-08-27
D/A
$2,750,000.00
Yes
$0.00
No
2013-08-26
D/A
$5,500,000.00
Yes
$0.00
No
2013-07-02
D/A
$5,500,000.00
Yes
$0.00
No
2013-04-04
D/A
$5,500,000.00
Yes
$0.00
No
2013-04-03
D/A
$3,850,000.00
Yes
$0.00
No
2012-12-07
D/A
$5,500,000.00
Yes
$0.00
No
2012-10-23
D/A
$5,500,000.00
Yes
$0.00
No
2012-09-07
D/A
$5,500,000.00
Yes
$0.00
No
2010-07-12
D/A
$593,256.00
No
$0.00
No