Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DEAN HARVEY
3076399
IMS SECURITIES, INC.
035567
IMS SECURITIES, INC.
35567
DEAN HARVEY
3076399
IMS SECURITIES, INC.
35567
DEAN A. HARVEY
3076399
DEAN HARVEY
3076399
IMS SECURITIES, INC.
035567
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2018-06-28
D
$1,419.00
No
$0.00
No
2017-07-17
D/A
$1,419.00
No
$0.00
No
2016-06-01
D/A
$1,419.00
No
$0.00
No
2015-04-28
D/A
$1,419.00
No
$0.00
No
2014-04-28
D/A
$1,419.00
No
$0.00
No
2013-11-14
D/A
$1,419.00
No
$0.00
No
2013-04-30
D/A
$1,419.00
No
$0.00
No
2011-12-30
D/A
$2,500,000.00
Yes
$0.00
No
2011-08-30
D/A
$0.00
No
$4,167.00
Yes
2011-01-07
D/A
$892,710.00
Yes
$0.00
Yes
2010-11-16
D/A
$454,207.00
Yes
$0.00
Yes
2010-09-13
D/A
$0.00
No
$3,000.00
Yes