Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

LINCOLN FINANCIAL ADVISORS CORPORATION
3978
PETER D. MALLER
2322403
LINCOLN FINANCIAL ADVISORS CORPORATION
3978
PETER MALLER
2322403
LINCOLN FINANCIAL ADVISORS CORPORATION
3978
PETER MALLER
2322403
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-01-07
D/A
$10,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE 2%; SALES COMMISSION UP TO 7%; DUE DILIGENCE FEES 0.5%; MARKETING EXPENSE FEE 0.5%.
2019-12-19
D/A
$20,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2019-12-19
D/A
$20,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2019-12-09
D/A
$20,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2019-11-26
D/A
$20,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2019-11-26
D/A
$20,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2019-01-08
D/A
$7,500,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - $0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2018-01-04
D/A
$5,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2017-11-17
D/A
$7,500,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2017-11-17
D/A
$5,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2017-11-17
D/A
$7,500,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2017-11-17
D/A
$5,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2016-10-04
D/A
$10,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2016-02-03
D
$10,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2013-01-02
D/A
$700,704.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-11-28
D/A
$700,704.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-11-02
D/A
$700,704.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-10-24
D/A
$700,704.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-10-10
D/A
$700,704.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.