Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FIRST ALLIED SECURITIES INC.
32444
MARK FREDERICK
2132368
FIRST ALLIED SECURITIES INC.
32444
MARK FREDERICK
2132368
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2010-02-02
D/A
$377,534.00
No
$0.00
No
2010-01-21
D/A
$184,332.00
No
$0.00
No
2009-09-21
D/A
$382,593.00
Yes
$0.00
No
2009-08-04
D/A
$546,110.00
Yes
$0.00
No
2009-08-04
D/A
$902,008.00
Yes
$0.00
No
2009-07-06
D/A
$486,825.00
Yes
$0.00
No