Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

BERTHEL FISHER + COMPANY FINANCIAL SERVICES, INC.
13609
JAMES O COX IV
2300032
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-10-16
D/A
$1,500,000.00
Yes
$0.00
No
SOLICITING DEALERS WILL RECEIVE SELLING COMMISSIONS EQUAL TO 6% OF THE GROSS OFFERING PROCEEDS ("GOP"). ESTIMATED AMOUNT ASSUMES FULLY SUBSCRIBED OFFERING. SOLICITING DEALERS WILL ALSO RECEIVE MARKETING REALLOWANCE AND BONA FIDE DUE DILIGENCE FEES.
2014-12-30
D/A
$1,500,000.00
Yes
$0.00
No
SOLICITING DEALERS WILL RECEIVE SELLING COMMISSIONS EQUAL TO 6% OF THE GROSS OFFERING PROCEEDS ("GOP"). ESTIMATED AMOUNT ASSUMES FULLY SUBSCRIBED OFFERING. SOLICITING DEALERS WILL ALSO RECEIVE MARKETING REALLOWANCE AND BONA FIDE DUE DILIGENCE FEES.