Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

LPL FINANCIAL LLC
6413
DANIEL W. PINKERTON
2128422
TRIAD ADVISORS, LLLC
25803
DANIEL PINKERTON
2128422
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-07-03
D/A
$8,005,281.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-06-21
D/A
$8,005,281.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-06-07
D/A
$8,005,281.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2011-08-01
D/A
$748,848.00
No
$0.00
No