Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
ASSAF MEIR PINCHAS
2618726
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
ASSAF PINCHAS
2618726
THE STRATEGIC FINANCIAL ALLIANCE, INC.
126514
ASSAF M. PINCHAS
2618726
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-02-16
D/A
$171,797.00
No
$0.00
No
2022-02-01
D/A
$170,184.00
No
$0.00
No
2022-01-24
D/A
$160,184.00
No
$0.00
No
2022-01-13
D/A
$159,464.00
No
$0.00
No
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.
2022-01-04
D/A
$150,464.00
No
$0.00
No
2021-12-21
D/A
$132,064.00
No
$0.00
No
2021-12-14
D/A
$127,064.00
No
$0.00
No
2021-11-23
D/A
$117,064.00
No
$0.00
No
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.
2021-11-05
D/A
$67,064.00
No
$0.00
No
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.
2019-12-05
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-11-26
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-11-14
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-10-31
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-10-17
D/A
$5,500,000.00
Yes
$0.00
Yes
2014-01-08
D
$126,699.00
Yes
$0.00
No
COMMISSIONS FROM SALES OF SECURITIES ARE REFLECTED ABOVE. ADD. FEES WERE PAID TO ONE OR MORE PERSONS IDENTIFIED IN ITEM 12 FOR DUE DILIGENCE FEES, MANAGING BD FEES AND WHOLESALE FEES OF APPROX. $261,177