Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

HD VEST INVESTMENT SERVICES
13686
LOIS A. LEYNSE
2949395
H.D. VEST INVESTMENT SECURITES INC
13686
LOIS LEYNSE
2949395
HD VEST INVESTMENT SERVICES
13686
LOIS ANN LEYNSE
2949395
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-07-03
D/A
$12,296,094.00
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.
2019-06-21
D/A
$12,296,094.00
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.
2019-06-07
D/A
$12,296,094.00
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.
2019-05-28
D/A
$12,296,094.00
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.
2019-05-01
D/A
$12,296,094.00
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.
2019-04-16
D/A
$12,296,094.00
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.
2019-04-03
D/A
$12,296,094.00
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.
2019-03-20
D/A
$12,296,094.00
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.
2019-03-07
D/A
$12,296,094.00
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.
2019-02-21
D/A
$12,296,094.00
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.
2019-02-14
D/A
$4,216,363.00
Yes
$0.00
No
2019-02-12
D/A
$12,296,094.00
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.
2019-01-31
D/A
$4,216,363.00
Yes
$0.00
No
2019-01-29
D/A
$12,296,094.00
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.
2019-01-16
D/A
$12,296,094.00
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.
2019-01-16
D/A
$12,296,094.00
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.
2019-01-09
D/A
$4,216,363.00
Yes
$0.00
No
2019-01-04
D/A
$12,296,094.00
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.
2018-12-21
D/A
$12,296,094.00
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.
2018-10-30
D/A
$3,246,065.00
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.
2018-10-04
D/A
$3,246,065.00
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.
2018-09-24
D/A
$3,246,065.00
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.
2018-09-12
D/A
$3,246,065.00
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.
2018-08-30
D/A
$3,246,065.00
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.
2018-08-16
D/A
$3,246,065.00
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.
2018-08-07
D/A
$3,246,065.00
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.
2018-07-24
D/A
$3,246,065.00
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.
2018-07-10
D/A
$3,246,065.00
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.
2018-06-28
D/A
$3,246,065.00
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.
2018-03-16
D/A
$1,999,517.00
Yes
$0.00
No
2017-10-05
D/A
$1,062,249.00
Yes
$0.00
No
2017-08-23
D/A
$1,062,249.00
Yes
$0.00
No
2017-08-11
D/A
$6,004,844.00
Yes
$0.00
No
2017-06-09
D/A
$1,062,249.00
Yes
$0.00
No
2017-04-05
D/A
$1,062,249.00
Yes
$0.00
No
2017-03-20
D/A
$1,062,249.00
Yes
$0.00
No
2017-03-06
D/A
$1,062,249.00
Yes
$0.00
No
2017-02-24
D/A
$1,062,249.00
Yes
$0.00
No
2017-02-16
D/A
$1,062,249.00
Yes
$0.00
No
2017-02-06
D/A
$1,062,249.00
Yes
$0.00
No
2017-02-02
D/A
$694,884.00
Yes
$0.00
No
2017-01-24
D/A
$694,884.00
Yes
$0.00
No
2017-01-18
D/A
$6,004,844.00
Yes
$0.00
No
2017-01-09
D/A
$1,062,249.00
Yes
$0.00
No
2016-12-29
D/A
$1,062,249.00
Yes
$0.00
No
2016-12-28
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-21
D/A
$1,062,249.00
Yes
$0.00
No
2016-12-20
D/A
$694,884.00
Yes
$0.00
No
2016-12-13
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-13
D/A
$1,062,249.00
Yes
$0.00
No
2016-12-01
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-01
D/A
$694,884.00
Yes
$0.00
No
2016-11-17
D/A
$6,004,844.00
Yes
$0.00
No
2016-11-17
D/A
$694,884.00
Yes
$0.00
No
2016-11-10
D/A
$6,004,844.00
Yes
$0.00
No
2016-11-08
D/A
$694,884.00
Yes
$0.00
No
2016-10-27
D/A
$6,004,844.00
Yes
$0.00
No
2016-10-27
D/A
$694,884.00
Yes
$0.00
No
2016-10-17
D
$694,884.00
Yes
$0.00
No
2016-10-17
D/A
$6,004,844.00
Yes
$0.00
No