Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SIGMA FINANCIAL CORPORATION
14303
KRISTINE E. MIELE
2214295
SIGMA FINANCIAL CORPORATION
14303
KRISTINE MIELE
2214295
SIGMA FINANCIAL CORP.
14303
KRISTINE MIELE
2214295
SIGMA FINANCIAL CORP
14303
KRISTINE HOWELL
2214295
SIGMA FINANCIAL CORP
14303
KRISTINE HOWELL
2214295
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-01-29
D/A
$1,710,572.00
No
$0.00
No
2016-01-08
D/A
$1,120,713.00
No
$0.00
No
2015-03-24
D/A
$617,920.00
Yes
$0.00
No
BASED ON 7.0% SALES COMMISSIONS ON $80,000,000 FOR REGISTERED BROKER-DEALERS ENTERING INTO SELLING AGREEMENTS WITH THE ISSUER. NONE OF THE SALES COMMISSIONS WILL BE PAID OUT OF THE PROCEEDS OF THE OFFERING.
2015-03-03
D/A
$1,205,714.00
No
$0.00
No
2015-03-02
D/A
$617,920.00
Yes
$0.00
No
BASED ON 7.0% SALES COMMISSIONS ON $80,000,000 FOR REGISTERED BROKER-DEALERS ENTERING INTO SELLING AGREEMENTS WITH THE ISSUER. NONE OF THE SALES COMMISSIONS WILL BE PAID OUT OF THE PROCEEDS OF THE OFFERING.
2013-01-11
D/A
$750,000.00
Yes
$0.00
No
NONE OF THE COMMISSIONS WILL BE PAID OUT OF THE PROCEEDS OF THE OFFERING. THE ESTIMATED AMOUNT IS BASED ON ASSUMPTION THAT THE FULL AMOUNT OF THE OFFERING WILL BE SOLD THROUGH BROKERS.
2009-10-29
D
$179,000.00
Yes
$0.00
No