Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SAXONY SECURITIES INC.
11547
MICHAEL ROSE
2954324
SAXONY SECURITIES, INC.
115547
MICHAEL ROSE
2954324
ROSE CAPITAL ADVISORS LLC
173054
MICHAEL ROSE
2954324
NONE
NONE
MICHAEL ROSE
2954324
MICHAEL ROSE
2954324
SAXONY SECURITIES, INC.
115547
MICHAEL ROSE
2954324
SAXONY SECURITIES
115547
MICHAEL JOSEPH ROSE
2954324
SAXONY SECURITIES, INC.
115547
SAXONY SECURITIES, INC.
115547
MICHAEL ROSE
2954324
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-01-05
D
$625,047.00
No
$0.00
No
SELLING COMMISSIONS: $363,501.20; MANAGING DEALER FEES: $204,923.00; DUE DILIGENCE FEES: $56,623.40
2022-12-29
D
$317,574.00
No
$0.00
No
SALES COMMISSIONS: $95,481.20; WHOLESALE FEES: $32,919.75; DUE DILIGENCE FEES: $16,967.90; MARKETING FEES: $13,167.90; MANAGING BROKER FEES: $159,037.90
2022-12-23
D
$259,904.00
No
$0.00
No
SELLING COMMISSIONS: $126,322.40; WHOLESALE FEES: $35,555.50; DUE DILIGENCE FEES: $18,972.20; MARKETING FEES: $14,222.20; MANAGING BROKER FEES: $64,832.20
2022-11-23
D
$636,989.00
No
$0.00
No
SALES COMMISSIONS: $374,522.00; DUE DILIGENCE FEES: $54,098.00; MARKETING FEES: $21,688.00; MANAGING BROKER FEES: $100,051.10.
2021-12-27
D/A
$405,388.00
No
$0.00
No
2021-11-12
D/A
$405,388.00
No
$0.00
No
2021-11-10
D/A
$301,560.00
No
$0.00
No
2021-11-01
D
$301,560.00
No
$0.00
No
2021-09-07
D
$329,018.00
No
$0.00
No
2021-01-11
D
$971,489.00
No
$0.00
No
SALES COMMISSIONS: $527,142.00; DUE DILIGENCE FEES: $116,184.81; MARKETING FEES: $163,280.39; MANAGING BROKER DEALER FEE: $164,882.63
2020-12-31
D
$138,031.00
No
$0.00
No
2020-08-07
D/A
$485,940.00
No
$0.00
No
2020-06-23
D/A
$910,123.00
No
$0.00
No
2020-06-15
D
$536,725.00
No
$0.00
No
2020-05-28
D/A
$910,123.00
No
$0.00
No
2020-04-15
D/A
$910,123.00
No
$0.00
No
2020-01-07
D
$240,346.00
No
$0.00
No
2019-12-20
D
$910,123.00
No
$0.00
No
2019-05-21
D
$0.00
Yes
$0.00
Yes
FINDER-S FEE WILL BE BASED ON PERFORMANCE OF AN INVESTOR-S INVESTMENT.
2016-07-08
D
$85,227.00
No
$0.00
No
2015-03-13
D
$119,038.00
Yes
$0.00
No