Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

KALOS CAPITAL, INC.
44337
PATRICK A. STRUBBE
2845724
KALOS CAPITAL, INC.
44337
PATRICK W. STRUBBE
2845724
KALOS CAPITAL, INC.
44337
PATRICK STRUBBE
2845724
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-04-22
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-16
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-08
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-01
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2011-11-04
D/A
$735,000.00
Yes
$0.00
No
THIS RESPONSE IS BASSED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2011-09-21
D/A
$735,000.00
No
$0.00
No
2011-08-24
D/A
$735,000.00
No
$0.00
No
2011-08-15
D/A
$1,467,200.00
No
$0.00
No
2011-08-10
D/A
$735,000.00
No
$0.00
No
2011-06-27
D/A
$735,000.00
No
$0.00
No
2011-06-09
D/A
$1,467,200.00
No
$0.00
No
2011-05-26
D/A
$1,467,200.00
No
$0.00
No
2011-05-12
D/A
$1,467,200.00
No
$0.00
No
2011-04-27
D/A
$1,467,200.00
No
$0.00
No
2011-04-15
D/A
$1,467,200.00
No
$0.00
No
2011-04-06
D/A
$1,467,200.00
No
$0.00
No