Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

VSR FINANCIAL SERVICES, INC.
14503
STEPHEN C. PFAFF
2724225
VSR FINANCIAL SERVICES INC.
14503
STEPHEN C. PFAFF
2724225
VSR
14503
STEVEN PFAFF
2724225
VSR
14503
STEPHEN C PFAFF
2724225
VSR
14503
STEVEN PFAFF
2724225
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-04-13
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-02-24
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-01-12
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-12-29
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-11-24
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-10-28
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-09-22
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-09-08
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-09-03
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-07-28
D/A
$326,923.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-05-29
D/A
$376,382.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-05-12
D/A
$376,382.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-04-22
D/A
$376,382.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-04-15
D/A
$376,382.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-01-09
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-01-09
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-30
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-30
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-23
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-23
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-02
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-02
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-02-21
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2013-01-18
D/A
$277,959.00
Yes
$0.00
No
SOLICITING DEALERS WILL RECEIVE A SELLING COMMISSION OF UP TO 7% FROM THE GROSS OFFERING PROCEEDS AND A REALLOWANCE OF AN ADDITIONAL 1% OF THE GROSS OFFERING PROCEEDS.
2013-01-18
D/A
$277,959.00
Yes
$0.00
No
SOLICITING DEALERS WILL RECEIVE A SELLING COMMISSION OF UP TO 7% FROM THE GROSS OFFERING PROCEEDS AND A REALLOWANCE OF AN ADDITIONAL 1% OF THE GROSS OFFERING PROCEEDS.
2013-01-07
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-12-17
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-12-04
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-11-13
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-11-07
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-29
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-16
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-09
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-02
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-07-16
D/A
$344,896.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-06-13
D/A
$344,896.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-05-15
D/A
$344,896.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.