Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NYLIFE DISTRIBUTORS LLC
35350
JOHN W. AKKERMAN
2780712
NYLIFE DISTRIBUTORS LLC
35350
JOHN W. AKKERMAN
2780712
NYLIFE DISTRIBUTORS LLC
35350
JOHN W. AKKERMAN
2780712
NYLIFE DISTRIBUTORS LLC
35350
JOHN W. AKKERMAN
2780712
NYLIFE DISTRIBUTORS LLC
35350
JOHN AKKERMAN
2780712
JOHN AKKERMAN
2780712
NYLIFE DISTRIBUTORS, LLC
35350
NONE
NONE
JOHN AKKERMAN
2780712
NYLIFE DISTRIBUTORS LLC
35350
JOHN AKKERMAN
2780712
NYLIFE DISTRIBUTORS LLC
35350
JOHN W. AKKERMAN
2780712
People
Name
N/A MACKAY MUNICIPAL MANAGERS CALIFORNIA OPPORTUNITIES GP LLC
N/A MACKAY SHIELDS, LLC
JOHN M. LOFFREDO
ROBERT A. DIMELLA
LUCILLE PROTAS
DAN C. ROBERTS
NONE MACKAY SHIELDS LLC
NONE MACKAY SHIELDS CORE FIXED INCOME FUND GP LLC
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND, GP LLC N/A
JOHN MICHAEL LOFFREDO
ROBERT ALAN DIMELLA
MACKAY SHIELDS LLC N/A
NONE MACKAY SHIELDS CORE PLUS OPPORTUNITIES FUND GP LLC
LUCILLE P. PROTAS
JEFFREY PHLEGAR
DENISE KINSELLA
EILISH FINAN
YOUNG LEE
MACKAY MUNICIPAL MANAGERS CALIFORNIA OPPORTUNITIES GP LLC N/A
MACKAY SHIELDS, LLC N/A
N/A NEXTGEN VENTURE PARTNERS, LLC
MICHAEL D. HANKIN
WILLIAM O. WHITE
BRETT D. ROGERS
DAVID M. CHURCHILL
DANIEL MINDUS
N/A MACKAY MUNICIPAL MANAGERS HIGH YIELD SELECT GP LLC
N/A MACKAY MUNICIPAL MANAGERS U.S. INFRASTRUCTURE OPPORTUNITIES GP LLC
N/A MACKAY SHIELDS LLC
N/A MACKAY MUNICIPAL MANAGERS CALIFORNIA OPPORTUNITIES GP, LLC
N/A MACKAY MUNICIPAL MANAGERS OPPORTUNITIES GP, LLC
N/A MACKAY MUNICIPAL MANAGERS OPPORTUNITIES ALLOCATION GP LLC
N/A MACKAY MUNICIPAL MANAGERS CAPITAL TRADING GP, LLC
N/A MACKAY MUNICIPAL MANAGERS NEW YORK OPPORTUNITIES GP, LLC
RENE A. BUSTAMANTE
STEPHEN CIANCI
NONE MACKAY SHIELDS, LLC
N/A MACKAY SHIELDS CORE FIXED INCOME FUND GP LLC
N/A MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND, GP LLC
N/A N/A MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND, GP LLC
N/A N/A MACKAY SHIELDS LLC
N/A MACKAY MUNICIPAL MANAGERS CREDIT OPPORTUNITIES GP, LLC
N/A MACKAY MUNICIPAL MANAGERS HIGH INCOME OPPORTUNITIES GP LLC
N/A MACKAY MUNICIPAL MANAGERS OPPORTUNITIES, GP LLC
N/A N/A MACKAY MUNICIPAL MANAGERS OPPORTUNITIES, GP LLC
N/A MACKAY MUNICIPAL TRADING CAPITAL GP, LLC
N/A MACKAY MUNICIPAL MANAGERS CREDIT OPPORTUNITIES HL (CAYMAN) GP LLC
N/A MACKAY MUNICIPAL MANAGERS CAPITAL TRADING GP LLC
N/A MACKAY MUNICIPAL MANAGERS NEW YORK OPPORTUNITIES GP LLC
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-07-30
D/A
$0.00
No
$0.00
No
2023-07-25
D/A
$0.00
No
$0.00
No
2022-10-17
D/A
$750,000.00
Yes
$0.00
No
2022-09-26
D/A
$4,600,000.00
Yes
$0.00
No
2022-07-26
D/A
$6,500,000.00
Yes
$0.00
No
2022-07-26
D/A
$300,000.00
Yes
$0.00
No
2022-07-25
D
$0.00
No
$0.00
No
2022-06-29
D/A
$100,000.00
Yes
$0.00
No
2022-05-16
D/A
$22,000,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2022-05-04
D/A
$8,000,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2022-04-11
D/A
$23,000,000.00
Yes
$0.00
No
2022-03-14
D/A
$23,000,000.00
Yes
$0.00
No
2022-03-04
D/A
$3,000,000.00
Yes
$0.00
No
2022-01-12
D/A
$750,000.00
Yes
$0.00
No
2021-12-03
D/A
$1,000,000.00
Yes
$0.00
No
2021-10-15
D/A
$600,000.00
Yes
$0.00
No
2021-09-24
D/A
$3,500,000.00
Yes
$0.00
No
2021-07-26
D/A
$200,000.00
No
$0.00
No
2021-07-20
D/A
$462,381.00
Yes
$0.00
No
2021-07-01
D/A
$100,000.00
Yes
$0.00
No
2021-05-14
D/A
$17,000,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2021-05-04
D/A
$6,500,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2021-04-09
D/A
$17,000,000.00
Yes
$0.00
No
2021-03-12
D/A
$17,000,000.00
Yes
$0.00
No
2021-03-04
D/A
$1,700,000.00
Yes
$0.00
No
2021-03-02
D/A
$400,000.00
Yes
$0.00
No
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR A SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE IT RECEIVES FROM THE ISSUER.
2021-01-04
D/A
$19,000,000.00
Yes
$0.00
No
2020-12-04
D/A
$1,000,000.00
Yes
$0.00
No
2020-10-15
D/A
$600,000.00
Yes
$0.00
No
2020-09-25
D/A
$2,500,000.00
Yes
$0.00
No
2020-07-24
D/A
$100,000.00
Yes
$0.00
No
2020-07-20
D/A
$448,084.00
No
$0.00
No
2020-07-02
D/A
$200,000.00
Yes
$0.00
No
2020-05-15
D/A
$13,000,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2020-05-04
D/A
$4,700,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2020-03-04
D/A
$700,000.00
Yes
$0.00
No
2020-03-02
D/A
$325,000.00
Yes
$0.00
No
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR A SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE IT RECEIVES FROM THE ISSUER.
2020-01-03
D/A
$15,500,000.00
Yes
$0.00
No
2019-12-04
D/A
$900,000.00
Yes
$0.00
No
2019-10-15
D/A
$600,000.00
Yes
$0.00
No
2019-09-26
D/A
$1,300,000.00
Yes
$0.00
No
2019-07-25
D
$200,000.00
Yes
$0.00
No
2019-07-19
D/A
$421,084.00
No
$0.00
No
2019-07-01
D/A
$100,000.00
Yes
$0.00
No
2019-05-17
D/A
$10,000,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2019-05-03
D/A
$3,500,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2019-03-01
D/A
$225,000.00
Yes
$0.00
No
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR A SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE IT RECEIVES FROM THE ISSUER.
2019-01-04
D/A
$11,300,000.00
Yes
$0.00
No
2018-12-06
D/A
$700,000.00
Yes
$0.00
No
2018-10-15
D/A
$600,000.00
Yes
$0.00
No
2018-09-26
D/A
$900,000.00
Yes
$0.00
No
2018-07-20
D/A
$50,000.00
Yes
$0.00
No
2018-07-20
D/A
$50,000.00
Yes
$0.00
No
2018-07-20
D/A
$337,573.00
No
$0.00
No
2018-07-20
D/A
$10,000.00
Yes
$0.00
No
2018-05-18
D/A
$8,000,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2018-05-04
D/A
$2,000,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE.
2018-03-02
D/A
$150,000.00
Yes
$0.00
No
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR A SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE IT RECEIVES FROM THE ISSUER.
2017-12-08
D/A
$400,000.00
Yes
$0.00
No
2017-10-12
D/A
$200,000.00
Yes
$0.00
No
2017-09-26
D/A
$400,000.00
Yes
$0.00
No
2017-07-21
D/A
$10,000.00
Yes
$0.00
No
2017-07-21
D/A
$50,000.00
Yes
$0.00
No
2017-07-21
D/A
$500,000.00
Yes
$0.00
No
2017-07-21
D/A
$10,000.00
Yes
$0.00
No
2017-05-05
D/A
$1,600,000.00
Yes
$0.00
Yes
PLACEMENT AGENT FEE
2017-03-03
D/A
$100,000.00
Yes
$0.00
Yes
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE THAT IT RECEIVES FROM THE ISSUER.
2016-12-08
D/A
$300,000.00
No
$0.00
No
2016-10-12
D
$100,000.00
Yes
$0.00
No
PLACEMENT AGENT FEE
2016-09-26
D
$100,000.00
Yes
$0.00
No
2016-07-22
D/A
$300,000.00
Yes
$0.00
No
2016-05-06
D/A
$500,000.00
Yes
$0.00
No
2016-03-04
D/A
$70,000.00
Yes
$0.00
Yes
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE THAT IT RECEIVES FROM THE ISSUER.
2015-12-11
D/A
$200,000.00
Yes
$0.00
No
2015-10-09
D/A
$1,000,000.00
Yes
$0.00
No
2015-10-09
D/A
$1,900,000.00
Yes
$0.00
No
DENISE SPILLANE, PREVIOUSLY LISTED AT ITEM 12 FOR NYLIFE DISTRIBUTORS LLC, IS NO LONGER EMPLOYED IN THAT CAPACITY.
2015-07-22
D/A
$50,000.00
Yes
$0.00
No
2015-07-22
D/A
$200,000.00
Yes
$0.00
No
2015-07-22
D/A
$50,000.00
Yes
$0.00
No
2015-07-22
D/A
$10,000.00
Yes
$0.00
No
2015-07-22
D/A
$150,000.00
Yes
$0.00
No
2015-07-22
D/A
$10,000.00
Yes
$0.00
No
2015-05-07
D
$150,000.00
Yes
$0.00
No
2015-03-09
D/A
$50,000.00
Yes
$0.00
Yes
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE THAT IT RECEIVES FROM THE ISSUER.
2014-12-11
D/A
$120,000.00
Yes
$0.00
No
2014-10-09
D/A
$1,500,000.00
Yes
$0.00
No
DENISE SPILLANE, PREVIOUSLY LISTED AT ITEM 12 FOR NYLIFE DISTRIBUTORS LLC, IS NO LONGER EMPLOYED IN THAT CAPACITY.
2014-10-09
D/A
$1,000,000.00
Yes
$0.00
No