Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
13594
THOMAS JOHN DICKSON
2303880
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
13594
TOM DICKSON
2303880
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2014-06-04
D/A
$368,428.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2014-04-23
D/A
$352,258.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2014-03-24
D/A
$352,258.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2014-02-14
D/A
$352,258.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2014-01-09
D/A
$156,483.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2014-01-08
D/A
$340,120.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-12-20
D/A
$156,483.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-12-20
D/A
$340,120.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-11-26
D/A
$156,843.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-11-18
D/A
$340,120.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-10-23
D/A
$316,727.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-09-20
D/A
$156,843.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-08-15
D/A
$316,727.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-07-22
D/A
$141,625.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-06-18
D/A
$141,625.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-06-18
D/A
$284,110.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-04-16
D/A
$125,875.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-04-16
D/A
$262,380.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-02-26
D/A
$262,380.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2013-01-11
D/A
$243,037.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-11-05
D/A
$206,625.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-10-11
D/A
$105,000.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-10-09
D/A
$206,625.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-06-12
D/A
$115,925.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-05-15
D/A
$115,925.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-02-10
D/A
$113,400.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-01-10
D/A
$215,700.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2012-01-10
D/A
$115,650.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-12-14
D/A
$76,750.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-12-14
D/A
$198,375.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-11-16
D/A
$76,750.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-11-16
D/A
$198,938.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-11-04
D/A
$42,000.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-10-14
D/A
$76,750.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-10-14
D/A
$198,938.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2011-05-12
D/A
$93,825.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.
2010-11-12
D
$0.00
Yes
$0.00
Yes
WHEN APPLICABLE, COMMISSION IS 20% OF APPLICABLE MANAGEMENT FEE IN YEAR 1 OF INVESTMENT AND 10% OF APPLICABLE MANAGEMENT FEE IN YEAR 2 OF INVESTMENT.