Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

BALANCED FINANCIAL SECURITIES, LLC
7735
TERRY D. HARVEY
2364966
PTX SECURITIES, LLC
7735
TERRY D. HARVEY
2364966
PTX SECURITIES, LLC
7735
TERRY D. HARVEY
2364966
PTX SECURITIES, LLC
7735
TERRY HARVEY
2364966
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-11-30
D/A
$27,000,000.00
Yes
$0.00
No
ESTIMATE ASSUMES ALL SECURITIES SOLD IN OFFERING. ACTUAL FEES WILL BE BASED ON SECURITIES ACTUALLY SOLD. ACTUAL FEES PAID TO DATE - $5,188,234.64.
2015-12-16
D/A
$27,000,000.00
Yes
$0.00
No
ESTIMATE ASSUMES ALL SECURITIES SOLD IN OFFERING. ACTUAL FEES WILL BE BASED ON SECURITIES ACTUALLY SOLD. ACTUAL FEES PAID TO DATE - $722,166.
2015-08-06
D/A
$2,404,075.00
Yes
$0.00
No
COMMISSIONS (AMOUNT REPRESENTED ABOVE) ALSO INCLUDES THE MANAGING BROKER DEALER FEE AND DUE DILIGENCE FEE
2015-02-19
D
$59,666.00
Yes
$0.00
No
2015-02-03
D/A
$2,404,075.00
Yes
$0.00
No
COMMISSIONS (AMOUNT REPRESENTED ABOVE) ALSO INCLUDES THE MANAGING BROKER DEALER FEE AND DUE DILIGENCE FEE
2015-01-30
D
$2,404,075.00
Yes
$0.00
No
COMMISSIONS (AMOUNT REPRESENTED ABOVE) ALSO INCLUDES THE MANAGING BROKER DEALER FEE AND DUE DILIGENCE FEE
2014-01-27
D
$1,560,276.00
Yes
$0.00
No
COMMISSIONS (AMOUNT AS REPRESENTED ABOVE) ALSO INCLUDES THE MANAGING BROKER DEALER FEE AND THE DUE DILIGENCE FEE
2013-05-01
D
$800,000.00
Yes
$0.00
No