Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

INTERNATIONAL ASSETS ADVISORY, LLC
10645
RICHARD WILLIAM ENGEN
2528314
RICHARD WILLIAM ENGEN
2528314
INTERNATIONAL ASSETS ADVISORY, LLC
10645
INTERNATIONAL ASSETS ADVISORY, LLC
10645
RICK ENGEN
2528314
INTERNATIONAL ASSETS ADVISORY, LLC
10645
RICK ENGEN
2528314
INTERNATIONAL ASSETS ADVISORY, LLC
10645
RICK ENGEN
2528314
INTERNATIONAL ASSETS ADVISORY, LLC
10645
RICHARD WILLIAM ENGEN
2528314
INTERNATIONAL ASSETS ADVISORY, LLC
10645
RICHARD WILLIAM ENGEN
2528314
INTERNATIONAL ASSETS ADVISORY, LLC
10645
RICHARD W. ENGEN
2528314
GREAT PLAINS FINANCIAL SERVICES, LLP
42141
RICHARD WILLIAM ENGEN
2528314
GREAT PLAINS FINANCIAL SERVICES LLP
42141
RICHARD ENGEN
2528314
GREAT PLAINS FINANCIAL SERVICES, LLP
42141
RICHARD WILLIAM ENGEN
2528314
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-02-19
D/A
$1,000,000.00
Yes
$0.00
No
2025-12-09
D
$1,000,000.00
Yes
$0.00
No
2025-10-02
D/A
$250,000.00
Yes
$0.00
No
2024-12-16
D
$3,500,000.00
Yes
$0.00
No
2024-10-15
D/A
$250,000.00
Yes
$0.00
No
2023-12-08
D
$1,500,000.00
Yes
$0.00
No
2022-11-23
D
$125,000.00
Yes
$0.00
No
2021-11-24
D
$125,000.00
No
$0.00
No
2021-01-06
D/A
$315,000.00
Yes
$0.00
No
2020-11-12
D
$125,000.00
Yes
$0.00
No
2019-11-12
D/A
$315,000.00
Yes
$0.00
No
2019-07-25
D
$125,000.00
Yes
$0.00
No
2018-10-23
D/A
$315,000.00
Yes
$0.00
No
2018-03-23
D/A
$125,000.00
Yes
$0.00
No
2018-03-13
D
$315,000.00
Yes
$0.00
No
2017-09-06
D/A
$240,541.00
Yes
$0.00
Yes
2017-09-06
D/A
$227,239.00
Yes
$0.00
Yes
2017-04-18
D/A
$125,000.00
Yes
$0.00
No
2016-09-14
D/A
$122,955.00
Yes
$0.00
Yes
2016-09-14
D/A
$90,603.00
Yes
$0.00
Yes
2015-05-27
D/A
$54,095.00
Yes
$0.00
Yes
2014-11-19
D
$160,000.00
Yes
$0.00
No
2014-05-27
D/A
$54,095.00
No
$0.00
No
2014-05-06
D/A
$117,737.00
Yes
$0.00
No
2014-04-03
D/A
$117,737.00
Yes
$0.00
No
2013-05-24
D/A
$65,485.00
No
$0.00
No
2012-10-17
D
$280,000.00
Yes
$0.00
No
COMMISSIONS PAYABLE TO REGISTERED BROKER/DEALERS WILL NOT EXCEED 8% OF THE GROSS PAYABLES RAISED.
2012-05-07
D/A
$65,352.00
No
$0.00
No