Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

INDEPENDENT FINANCIAL GROUP, LLC
7717
WALTER PARDO
2154112
AVANTAX INVESTMENT SERVICES, INC.
13686
WALTER PARDO
2154112
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-12-27
D/A
$32,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2024-12-12
D/A
$32,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2024-11-15
D/A
$32,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2024-10-31
D/A
$32,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2024-10-18
D/A
$32,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2019-05-31
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
2019-05-24
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%