Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

GBS FINANCIAL CORP
16906
GERARD GLOISTEN
2579962
WESTERN INTERNATIONAL SECURITIES, INC.
39262
GERARD P. GLOISTEN
2579962
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-01-05
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-11-10
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-10-28
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-10-14
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-09-30
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-09-16
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-09-02
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-08-20
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-08-05
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-07-22
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-07-08
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-06-24
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-06-10
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-05-27
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-05-13
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-29
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-15
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-01
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-18
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-07-30
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-07-16
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-07-02
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-06-19
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-06-19
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-06-04
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-05-21
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-05-08
D/A
$5,500,000.00
Yes
$0.00
Yes
2010-10-19
D/A
$316,455.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES DUE DILIGENCE FEE