Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

J.P. TURNER + COMPANY, L.L.C.
43177
JAMES H. SIMMONS, JR.
2438224
J.P. TURNER + COMPANY LLC
43177
JAMES H. SIMMONS JR.
2438224
JAMES SIMMONS
2438224
INTERNATIONAL ASSETS ADVISORY LLC
10645
JAMES HAMPTON SIMMONS JR
2438224
ALEXANDER CAPITAL, L.P.
40077
ALEXANDER CAPITAL
40077
JASE SIMMONS
2438224
JASE SIMMONS
2438224
ALEXANDER CAPITAL, L.P.
40077
ALEXANDER CAPITAL
40077
JASE SIMMONS
2438224
ALEXANDER CAPITAL
40077
JASE SIMMONS
2438224
ALEXANDER CAPITAL
40077
JASE SIMMONS
2438224
ALEXANDER CAPITAL, L.P.
40077
JAMES HAMPTON SIMMONS, JR.
2438224
ALEXANDER CAPITAL, L.P.
40077
JAMES HAMPTON SIMMONS JR
2438224
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-01-14
D
$29,462.00
No
$0.00
No
2025-10-23
D/A
$9,000,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2025-02-25
D/A
$283,383.00
No
$0.00
No
2025-02-24
D
$56,089.00
No
$0.00
No
2025-01-17
D/A
$149,240.00
No
$0.00
No
2024-08-26
D
$149,240.00
No
$0.00
No
2024-02-15
D/A
$274,890.00
No
$163,352.00
No
2024-02-15
D/A
$149,310.00
No
$149,715.00
No
2024-02-02
D/A
$993,174.00
No
$0.00
No
SELLING COMMISSIONS: $401,773.95; MANAGING BROKER FEES: $171,292.92; WHOLESALER FEES: $120,112.92; DUE DILIGENCE FEES: $97,006.92; MARKETING FEE: $202,988.20
2024-01-16
D
$149,310.00
No
$149,715.00
No
2024-01-16
D
$274,890.00
No
$163,352.00
No
2024-01-16
D
$689,349.00
No
$0.00
No
SELLING COMMISSIONS: $398,273.95; MANAGING BROKER FEES: $171,292.92; WHOLESALER FEES: $17,526.00; DUE DILIGENCE FEES: $102,256.92
2023-01-03
D
$783,926.00
No
$0.00
No
SELLING COMMISSIONS: $466,285.95; WHOLESALE FEES: $82,365.05; DUE DILIGENCE FEES: $76,455.05; MARKETING FEES: $76,455.05; MANAGING BROKER FEES: $82,365.05
2022-01-10
D
$1,644,687.00
No
$0.00
No
INCLUSIVE OF $869,960 SELLING COMMISSIONS; $255,493.06 DUE DILIGENCE FEE; $231,821.89 MARKETING/WHOLESALE FEE; AND $287,412.47 BROKER/DEALER FEE.
2021-01-11
D
$1,228,345.00
No
$0.00
No
SALES COMMISSIONS: $664,090.00; DUE DILIGENCE FEES: $158,370.32; MARKETING FEES: $197,370.11; MANAGING BROKER DEALER FEE: $208,515.27
2020-12-02
D
$525,980.00
No
$0.00
No
2020-02-26
D/A
$1,109,775.00
No
$0.00
No
SELLING COMMISSIONS: $571,963; DUE DILIGENCE FEES: $129,263; MARKETING ALLOWANCES: $178,619; MANAGING BROKER FEE: $229,930
2019-12-30
D
$1,118,525.00
No
$0.00
No
SELLING COMMISSIONS: $580,712.50; DUE DILIGENCE FEES: $126,794.96; MARKETING ALLOWANCES: $181087.56; MANAGING BROKER FEE: $229,930.13
2014-11-06
D/A
$2,403,669.00
Yes
$0.00
No
2012-03-07
D/A
$2,450,000.00
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.
2012-02-07
D/A
$2,450,000.00
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.
2012-01-20
D/A
$2,450,000.00
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.
2012-01-19
D/A
$1,072,525.00
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.
2012-01-19
D/A
$957,619.00
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.
2011-12-15
D/A
$2,450,000.00
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.
2011-11-03
D/A
$1,072,525.00
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.
2011-11-03
D/A
$2,450,000.00
Yes
$0.00
No
2011-11-03
D/A
$957,619.00
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.
2011-10-17
D/A
$2,450,000.00
Yes
$0.00
No
2011-10-12
D/A
$1,072,525.00
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.
2011-10-12
D/A
$957,619.00
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.
2011-09-21
D/A
$1,072,525.00
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.
2011-09-21
D/A
$957,619.00
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.
2011-09-20
D/A
$2,450,000.00
No
$0.00
No
2011-09-09
D/A
$1,072,525.00
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.
2011-09-09
D/A
$957,619.00
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.
2011-09-01
D/A
$2,450,000.00
No
$0.00
No
2011-09-01
D/A
$513,397.00
No
$0.00
No
2011-08-25
D
$1,072,525.00
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.
2011-08-24
D/A
$957,619.00
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.
2011-08-10
D/A
$513,397.00
No
$0.00
No
2011-08-10
D/A
$2,450,000.00
No
$0.00
No
2011-06-23
D/A
$2,450,000.00
No
$0.00
No
2011-06-09
D/A
$2,450,000.00
No
$0.00
No
2011-06-09
D/A
$513,397.00
No
$0.00
No
2011-04-15
D/A
$2,450,000.00
No
$0.00
No