Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ADVANCED EQUITIES INC.
35545
TIMOTHY HERRMANN
2446600
ADVANCED EQUITIES INC.
35545
TIMOTHY HERRMANN
2446600
ADVANCED EQUITIES INC.
32455
TIMOTHY HERRMANN
2446600
ADVANCED EQUITIES INC.
35545
TIMOTHY HERRMANN
2446600
ADVANCED EQUITIES INC.
35545
TIMOTHY HERRMANN
2446600
ADVANCED EQUITIES INC.
35545
TIMOTHY HERRMANN
2446600
KATALYST SECURITIES LLC
112494
TIMOTHY JAMES HERRMANN
2446600
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-02-26
D/A
$251,747.00
No
$0.00
No
2010-02-02
D/A
$377,534.00
No
$0.00
No
2010-01-21
D/A
$184,332.00
No
$0.00
No
2009-09-02
D/A
$358,898.00
Yes
$0.00
No
2009-08-24
D/A
$25,125.00
Yes
$0.00
No
2009-08-19
D/A
$1,389,546.00
Yes
$0.00
No
2009-08-10
D/A
$407,587.00
Yes
$0.00
No
2009-08-04
D/A
$902,008.00
Yes
$0.00
No
2009-08-03
D/A
$417,405.00
Yes
$0.00
No
2009-07-31
D/A
$124,488.00
Yes
$0.00
No
2009-07-22
D/A
$800,615.00
Yes
$0.00
No
2009-07-09
D/A
$885,229.00
Yes
$0.00
No
2009-07-08
D
$224,443.00
Yes
$0.00
No
2009-06-19
D/A
$22,811.00
Yes
$0.00
No
2009-06-15
D
$21,452.00
Yes
$0.00
No
2009-06-12
D/A
$38,486.00
Yes
$0.00
No
2009-06-10
D/A
$142,091.00
Yes
$0.00
No
2009-06-01
D/A
$291,804.00
Yes
$0.00
No
2009-06-01
D/A
$186,775.00
Yes
$0.00
No
2009-05-14
D/A
$255,022.00
Yes
$0.00
No
2009-05-14
D/A
$91,050.00
Yes
$0.00
No
2009-05-14
D/A
$48,510.00
Yes
$0.00
No
2009-04-20
D
$374,293.00
Yes
$0.00
No
2009-04-20
D
$146,172.00
Yes
$0.00
No
2009-04-20
D
$365,543.00
Yes
$0.00
No