Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

TIM O-GARA
2640600
SHANNON ADVISORS LLC
150305
SHANNON ADVISORS LLC
150305
BRIAN T. O-GARA
2640600
BRIAN TIMOTHY O-GARA
2640600
SHANNON ADVISORS LLC
150305
TIMOTHY O-GARA
2640600
SHANNON ADVISORS, LLC
150305
BRIAN TIMOTHY O-GARA
2640600
SHANNON ADVISORS, LLC
150305
TIMOTHY O-GARA
2640600
SHANNON ADVISORS LLC
150305
BRIAN TIMOTHY O-GARA
2640600
SHANNON ADVISORS LLC
150305
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-07-19
D
$3,750,000.00
No
$0.00
No
2016-07-19
D
$612,500.00
No
$0.00
No
2016-07-19
D
$3,750,000.00
No
$0.00
No
2015-12-24
D/A
$4,433,850.00
Yes
$0.00
No
AMOUNTS ARE IN CANADIAN DOLLARS.
2013-12-31
D/A
$0.00
Yes
$0.00
Yes
2013-12-31
D/A
$0.00
Yes
$0.00
Yes
2011-07-27
D
$500,000.00
Yes
$0.00
No
2011-02-08
D/A
$1,000,000.00
No
$0.00
No
AS OF DECEMBER 21, 2010, THE ENGAGEMENT LETTER WITH SHANNON ADVISORS WAS TERMINATED AS A RESULT OF BIRCH HILL-S CESSATION OF MARKETING ACTIVITIES. THESE COMMISSIONS HAVE BEEN PAID.
2010-08-18
D/A
$500,000.00
Yes
$0.00
No
2010-01-04
D/A
$450,000.00
Yes
$0.00
No
ISSUER PAID RETAINERS OF $300,000 AND $150,000 TO PARK HILL GROUP LLC (PHG) AND SHANNON ADVISORS LLC (SA), RESPECTIVELY. ISSUER WILL PAY PHG 1.5% OF THE INITIAL $100,000,000 AND 1.75% OF IDENTIFIED CAPITAL THEREAFTER AND SA 1.5% OF IDENTIFIED CAPITAL.
2009-11-25
D
$500,000.00
Yes
$0.00
No