Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
FIRST ALLIED SECURITIES INC.
32444
DENNIS THURMAN
2342398
FIRST ALLIED SECURITIES INC.
32444
DENNIS THURMAN
2342398
ARETE WEALTH MANAGEMENT LLC
44856
DENNIS P. THURMAN
2342398
ARETE WEALTH MANAGEMENT, LLC
44856
DENNIS PATRICK THURMAN
2342398
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$5,250,000.00
Yes
$0.00
No
THE COMPANY WILL PAY NO GREATER THAN 7.0% OF THE GROSS OFFERING PROCEEDS FOR THE SALE OF UNITS IN PLACEMENT FEES AND SELLING COMMISSIONS.
D/A
$7,500,000.00
Yes
$0.00
No
UP TO TEN PERCENT (10%) OF GROSS PROCEEDS OF THE OFFERING.
D/A
$0.00
No
$0.00
No
AS OF 4/21/2010, ADVANCED EQUITIES INC. WILL BE PAID $285,350.62 AND FIRST ALLIED SECURITIES INC. WILL BE PAID $58,288.00 BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS III, LLC.
D/A
$0.00
No
$0.00
No
AS OF 3/15/2010, ADVANCED EQUITIES INC. WILL BE PAID $211,837.81 AND FIRST ALLIED SECURITIES INC. WILL BE PAID $67,731.15 BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS III, LLC.
D
$0.00
No
$0.00
No
AS OF 2/18/2010, ADVANCED EQUITIES INC. WILL BE PAID $167,788.50 AND FIRST ALLIED SECURITIES INC. WILL BE PAID $42,928.00 BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS III, LLC.
D/A
$0.00
No
$0.00
No
AS OF 1/6/2010, ADVANCED EQUITIES, INC., WILL BE PAID $269,781.40 AND FIRST ALLIED SECURITIES, INC., WILL BE PAID $324,091.47, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
D/A
$0.00
No
$0.00
No
AS OF 1/5/2010, ADVANCED EQUITIES, INC. WILL BE PAID $812,084.12 AND FIRST ALLIED SECURITIES, INC. WILL BE PAID $300,000.00, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
D/A
$0.00
No
$0.00
No
AS OF 11/23/2009, ADVANCED EQUITIES, INC. WILL BE PAID $774,385.60 AND FIRST ALLIED SECURITIES, INC. WILL BE PAID $316,000.00, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
D/A
$0.00
No
$0.00
No
AS OF 12/11/2009, ADVANCED EQUITIES, INC., WILL BE PAID $247,529.34 AND FIRST ALLIED SECURITIES, INC., WILL BE PAID $329,724.54, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
D/A
$0.00
No
$0.00
No
AS OF 11/23/2009, ADVANCED EQUITIES, INC. WILL BE PAID $596,713.71 AND FIRST ALLIED SECURITIES, INC. WILL BE PAID $224,320.00, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
