Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

M HOLDINGS SECURITIES, INC.
43285
DAVID J CARROLL
2355967
M HOLDINGS SECURITIES
43285
DAVID J. CARROLL
2355967
DAVID J. CARROLL
2355967
NFP SECURITIES, INC
42046
DAVID CARROLL
2355967
NFP SECURITIES, INC.
42046
DAVID J. CARROLL
2355967
KESTRA INVESTMENT SERVICES, LLC
42046
KESTRA INVESTMENT SERVICES, LLC
42046
DAVID J CARROLL
2355967
KESTRA INVESTMENT SERVICES, LLC
42046
DAVID J. CARROLL
2355967
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-23
D/A
$50,597,483.00
Yes
$0.00
No
2026-06-23
D/A
$969,247.00
Yes
$0.00
No
2025-04-07
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. AXCELUS FINANCIAL WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2025-02-20
D/A
$49,359,849.00
Yes
$0.00
No
2025-02-20
D/A
$951,417.00
Yes
$0.00
No
2024-08-19
D/A
$35,782.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. AXCELUS FINANCIAL WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2024-02-13
D/A
$48,438,220.00
Yes
$0.00
No
2024-02-13
D/A
$935,270.00
Yes
$0.00
No
2023-10-05
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2023-09-08
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2023-01-06
D/A
$47,310,404.00
Yes
$0.00
No
2023-01-06
D/A
$921,342.00
Yes
$0.00
No
2022-04-27
D/A
$765.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2020-12-23
D/A
$60,000,000.00
No
$0.00
No
2020-12-22
D/A
$1,500,000.00
Yes
$0.00
No
2020-12-14
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC WILL PAY SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
2019-12-20
D/A
$60,000,000.00
No
$0.00
No
2019-12-20
D/A
$1,500,000.00
Yes
$0.00
No
2018-12-19
D/A
$60,000,000.00
No
$0.00
No
2018-12-19
D/A
$1,500,000.00
Yes
$0.00
No
2017-12-20
D/A
$60,000,000.00
No
$0.00
No
2017-12-20
D/A
$1,500,000.00
Yes
$0.00
No
2016-12-19
D/A
$60,000,000.00
No
$0.00
No
2016-12-19
D/A
$1,500,000.00
Yes
$0.00
No
2016-04-06
D/A
$24,194.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2016-03-28
D/A
$3,337.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. LILAC PAYS SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2015-12-09
D/A
$500,000,000.00
No
$0.00
No
2015-12-09
D/A
$1,500,000.00
Yes
$0.00
No
2015-08-21
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. PFLAC PAYS ALL SALES COMMISSIONS OR FINDERS- FEES FROM ITS CORPORATE RESOURCES.
2014-12-16
D
$1,250.00
No
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE CALCULATED AS A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
2014-12-15
D/A
$45,000,000.00
Yes
$0.00
No
2014-12-15
D/A
$1,500,000.00
Yes
$0.00
No
2013-12-13
D/A
$45,000,000.00
Yes
$0.00
No
2013-12-12
D/A
$1,500,000.00
Yes
$0.00
No
2012-12-19
D/A
$45,000,000.00
Yes
$0.00
No
2012-12-19
D/A
$1,500,000.00
Yes
$0.00
No
2011-12-02
D/A
$45,000,000.00
Yes
$0.00
No
2011-12-02
D/A
$1,500,000.00
Yes
$0.00
No
2010-11-29
D/A
$40,000,000.00
Yes
$0.00
No
2010-11-29
D/A
$1,500,000.00
Yes
$0.00
No
2010-07-29
D/A
$40,000,000.00
Yes
$0.00
No
2010-07-29
D/A
$1,500,000.00
Yes
$0.00
No
2009-11-27
D/A
$40,000,000.00
Yes
$0.00
No
2009-11-27
D
$1,500,000.00
Yes
$0.00
No