Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ADVANCED EQUITIES INC.
35545
MARK FINCKLE
2650476
ADVANCED EQUITIES INC.
35545
MARK FINCKLE
2650476
ADVANCED EQUITIES INC.
35545
MARK FINCKLE
2650476
ADVANCED EQUITIES, INC.
35545
MARK FINCKLE
2650476
MARK S. FINCKLE
2650476
PAULSON INVESTMENT COMPANY, LLC
5670
MARK S. FINCKLE
5670
PAULSON INVESTMENT COMPANY, LLC
2650476
MARK S. FINCKLE
5670
PAULSON INVESTMENT COMPANY, LLC
2650476
MARK FINCKLE
2650476
PAULSON INVESTMENT COMPANY
5670
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-02-27
D/A
$1,200,000.00
Yes
$0.00
No
IN ADDITION TO A CASH COMMISSION OF 12% OF THE GROSS PROCEEDS FROM THE OFFERING, THE BROKERS WILL RECEIVE WARRANTS TO PURCHASE AN AMOUNT OF COMMON STOCK EQUAL TO 10% OF THE TOTAL AMOUNT OF SHARES SOLD IN THE OFFERING.
2019-01-09
D
$171,000.00
Yes
$0.00
No
10% COMMISSION TO PAULSON INVESTMENT COMPANY, LLC FOR GROSS PROCEEDS RECEIVED3% COMMISSION TO PAULSON INVESTMENT COMPANY, LLC FOR PRINCIPAL AMOUNT CONVERTED
2019-01-09
D
$1,200,000.00
Yes
$0.00
No
12% COMMISSION TO PAULSON INVESTMENT COMPANY, LLC
2018-04-13
D
$1,200,000.00
Yes
$0.00
No
12% COMMISSION TO PAULSON INVESTMENT COMPANY
2012-06-28
D
$162,661.00
No
$0.00
No
2012-03-23
D/A
$62,066.00
No
$0.00
No
2012-01-06
D/A
$1,258,355.00
No
$0.00
No
2011-12-19
D/A
$51,028.00
No
$0.00
No
2011-12-05
D/A
$1,042,681.00
No
$0.00
No
2011-11-29
D/A
$1,034,505.00
No
$0.00
No
2011-11-28
D/A
$26,971.00
No
$0.00
No
2011-11-14
D/A
$16,981.00
No
$0.00
No
2011-10-31
D/A
$9,905.00
No
$0.00
No
2011-10-31
D/A
$873,890.00
No
$0.00
No
2011-10-21
D/A
$602,991.00
No
$0.00
No
2011-10-17
D/A
$4,811.00
No
$0.00
No
2011-10-17
D/A
$544,463.00
No
$0.00
No
2011-09-16
D
$2,264.00
No
$0.00
No
2011-07-12
D/A
$152,432.00
No
$0.00
No
2011-07-07
D/A
$152,432.00
No
$0.00
No
2011-06-24
D/A
$135,028.00
No
$0.00
No
2011-05-31
D/A
$75,605.00
No
$0.00
No
2011-04-19
D/A
$222,842.00
No
$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
2009-06-10
D/A
$142,091.00
Yes
$0.00
No