Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

INFINEX INVESTMENTS, INC.
35371
RICHARD M. WATERS JR
2421557
INFINEX INVESTMENTS, INC.
35371
RICHARD M. WATERS
2421557
INFINEX INVESTMENTS, INC.
35371
RICHARD M. WATER JR.
2421557
RICHARD WATERS
2421557
INFINEX INVESTMENTS, INC
35371
INFINEX INVESTMENTS, INC.
35371
RICHARD M. WATERS JR.
2421557
INFINEX INVESTMENTS, INC.
35371
RICHARD M. WATERS JR,
2421557
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-12-14
D/A
$2,751,023.00
Yes
$0.00
No
2017-12-01
D/A
$824,440.00
Yes
$0.00
No
2017-11-22
D/A
$2,751,023.00
Yes
$0.00
No
2017-11-03
D/A
$2,751,023.00
Yes
$0.00
No
2017-11-01
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-24
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-18
D/A
$2,751,023.00
Yes
$0.00
No
2017-10-10
D/A
$824,440.00
Yes
$0.00
No
2017-10-06
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-09-28
D/A
$2,751,023.00
Yes
$0.00
No
2017-07-17
D/A
$4,467,881.00
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.
2017-06-13
D/A
$2,422,311.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2017-01-05
D/A
$1,085,779.00
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.
2016-12-08
D/A
$2,468,222.00
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.
2016-11-08
D/A
$2,468,222.00
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.
2016-10-25
D/A
$1,085,779.00
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.
2016-10-11
D/A
$4,467,881.00
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.
2016-09-29
D/A
$1,085,779.00
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.