Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

LARA, MAY + ASSOCIATES LLC
145589
RICHARD J. GOW
2350424
LARA, MAY + ASSOCIATES, LLC
145589
RICHARD J. GOW
2350424
DEMPSEY LORD SMITH
141238
RICHARD GOW
2350424
DEMPSEY LORD SMITH
141238
RICHARD GOW
2350424
DEMPSEY LORD SMITH
141238
RICK GOW
2350424
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-02-19
D/A
$700,450.00
Yes
$0.00
No
2026-01-13
D/A
$700,450.00
Yes
$0.00
No
2025-11-13
D/A
$700,450.00
Yes
$0.00
No
2025-10-22
D/A
$700,450.00
Yes
$0.00
No
2025-09-18
D/A
$700,450.00
Yes
$0.00
No
2025-09-08
D/A
$700,450.00
Yes
$0.00
No
2023-06-01
D/A
$705,963.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-05-16
D/A
$994,669.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-04-27
D/A
$994,669.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-04-14
D/A
$994,669.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-04-05
D/A
$994,669.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-03-08
D/A
$705,963.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-02-27
D/A
$705,963.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-01-31
D/A
$705,963.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2023-01-06
D/A
$705,963.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY, FOR APPROPRIATELY REGISTERED BROKER DEALERS, CERTAIN MARKETING AND OTHER EXPENSES, A NON-ACCOUNTABLE MARKETING ALLOWANCE, AND A SHARE IN THE ISSUER-S PROFITS.
2015-03-11
D/A
$716,021.00
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.
2015-01-29
D/A
$716,021.00
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.
2015-01-28
D/A
$716,021.00
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.
2015-01-20
D/A
$716,021.00
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.
2014-12-17
D/A
$2,275,294.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE, PLACEMENT AGENT FEE.