Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ROYAL ALLIANCE ASSOCIATES, INC.
23131
DOLORES B. MITCHELL
2722419
DELORES MITCHELL
2722419
ROYAL ALLIANCE ASSOCIATES, INC
23131
ROYAL ALLIANCE ASSOCIATES, INC.
23131
DELORES MITCHELL
2722419
ROYAL ALLIANCE ASSOCIATES, INC.
23131
DOLORES B MITCHELL
2722419
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-07-03
D/A
$2,758,615.00
Yes
$0.00
No
2019-06-07
D/A
$8,005,281.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-28
D/A
$8,005,281.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-10-03
D/A
$2,742,925.00
Yes
$0.00
No
2017-09-26
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-09-12
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-08-29
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-08-14
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-08-11
D/A
$2,742,925.00
Yes
$0.00
No
2017-08-02
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-08-01
D/A
$2,742,925.00
Yes
$0.00
No
2017-07-20
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-07-13
D/A
$2,742,925.00
Yes
$0.00
No
2017-07-06
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-06-27
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-23
D/A
$2,602,071.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-06-19
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-06
D/A
$2,742,925.00
Yes
$0.00
No