Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PURSHE KAPLAN STERLING INVESTMENTS
35747
STEVEN CARMANDALIAN
2713564
STEVEN CARMANDALIAN
2713564
PURSHE KAPLAN STERLING
35747
STEVEN CARMANDALIAN
2713564
PURSHE KAPLAN STERLING INVESTMENTS
35747
PURSHE KAPLAN STERLING INVESTMENTS
35747
STEVEN CARMANDALIAN
2713564
PURSHE KAPLAN STERLING INVESTMENTS
35747
STEVEN CARMANDALIAN
2713564
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-11-02
D/A
$205,400.00
Yes
$0.00
No
INCLUDES BOTH SALES COMMISSIONS AND DUE DILIGENCE FEES.
2022-01-14
D/A
$21,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS OF 6%, DEALER MANAGER FEE (DMF) OF 1% AND PLACEMENT AGENT FEE (PAF) OF 1.5%. THESE COMMISSIONS OR FEES MAY BE WAIVED FOR CERTAIN INVESTORS.
2021-01-20
D/A
$205,400.00
Yes
$0.00
No
INCLUDES BOTH SALES COMMISSIONS AND DUE DILIGENCE FEES.
2020-04-09
D
$1,000,179.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS EARNED.
2020-01-06
D
$98,025.00
Yes
$0.00
No
INCLUDES BOTH SALES COMMISSIONS AND DUE DILIGENCE FEES.
2019-06-19
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-04-15
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-03-13
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-02-26
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-02-12
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-01-30
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-28
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-17
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-11
D/A
$2,996,000.00
Yes
$0.00
No
2018-11-28
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-13
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-24
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.