Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SECURITES AMERICA, INC.
10205
MARK R. SWARTZ
2311460
SECURITIES AMERICA, INC.
10205
MARK RICHARD SWARTZ
2311460
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-03-30
D/A
$4,169,375.00
Yes
$0.00
No
2017-08-11
D/A
$6,004,844.00
Yes
$0.00
No
2017-01-18
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-28
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-13
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-01
D/A
$6,004,844.00
Yes
$0.00
No
2016-11-17
D/A
$6,004,844.00
Yes
$0.00
No