Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FINANCIAL WEST
16668
SCOTT MROZEK
2410838
FINANCIAL WEST GROUP
16668
SCOTT MROZEK
2410838
FINANCIAL WEST GROUP
16668
SCOTT MROZEK
2410838
FINANCIAL WEST GROUP
16668
SCOTT R. MROZEK
2410838
FINANCIAL WEST GROUP
16668
SCOTT MROZEK
2410838
FINANCIAL WEST GROUP
2410838
STEPHEN VALLENDER
4667608
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-01-08
D/A
$1,120,713.00
No
$0.00
No
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
2015-02-03
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
2013-01-18
D/A
$436,950.00
Yes
$0.00
Yes
2012-01-04
D
$679,050.00
Yes
$0.00
Yes
2011-01-07
D/A
$892,710.00
Yes
$0.00
Yes