Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DFPG INVESTMENTS, INC.
155576
BENJAMIN T. NEWHOUSE
3105894
DFPG INVESTMENTS, INC.
155576
BENJAMIN T. NEWHOUSE
3105894
DFPG INVESTMENTS, INC.
155576
BENHAMIN T. NEWHOUSE
3105894
DFPG INVESTMENTS, LLC
155576
BENJAMIN THOMAS NEWHOUSE
3105894
DFPG INVESTMENTS, LLC
155576
BENJAMIN THOMAS NEWHOUSE
3105894
DFPG INVESTMENTS, LLC
155576
BENJAMIN T. NEWHOUSE
3105894
DFPG INVESTMENTS, LLC
155576
BENJAMIN NEWHOUSE
3105894
DFPG INVESTMENTS, LLC
155565
BENJAMIN NEWHOUSE
3105894
DFPG INVESTMENTS, LLC
155576
BENJAMIN NEWHOUSE
3105894
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-06-21
D/A
$0.00
Yes
$0.00
Yes
2024-06-05
D/A
$0.00
Yes
$0.00
Yes
2024-05-23
D
$0.00
Yes
$0.00
Yes
2022-03-01
D/A
$3,782,441.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-02-22
D/A
$3,782,441.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-02-14
D/A
$3,782,441.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-04-23
D/A
$1,958,581.00
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.
2021-03-26
D/A
$1,958,581.00
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.
2021-03-16
D/A
$1,958,581.00
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.
2021-03-03
D/A
$1,958,581.00
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.
2021-02-19
D/A
$2,080,800.00
Yes
$0.00
No
2021-02-16
D/A
$1,958,581.00
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.
2021-02-03
D/A
$1,958,581.00
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.
2021-01-22
D/A
$1,958,581.00
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.
2021-01-12
D/A
$1,958,581.00
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.
2020-12-30
D/A
$1,958,581.00
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.
2020-12-28
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-12-23
D/A
$1,958,581.00
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.
2020-12-18
D
$1,958,581.00
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.
2020-12-02
D/A
$2,080,800.00
Yes
$0.00
No
2020-07-27
D/A
$3,449,688.00
Yes
$0.00
No
2020-04-23
D/A
$2,723,400.00
Yes
$0.00
No
2017-11-20
D/A
$906,329.00
Yes
$0.00
No
2017-11-03
D/A
$906,329.00
Yes
$0.00
No
2017-10-30
D/A
$492,828.00
Yes
$0.00
No
2017-10-10
D/A
$906,329.00
Yes
$0.00
No
2017-08-25
D/A
$906,329.00
Yes
$0.00
No
2017-06-09
D/A
$492,828.00
Yes
$0.00
No
2017-05-24
D/A
$492,828.00
Yes
$0.00
No
2017-05-10
D/A
$492,828.00
Yes
$0.00
No
2017-04-27
D/A
$492,828.00
Yes
$0.00
No
2016-09-16
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-04-28
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-04-01
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-03-14
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-03-02
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-02-17
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.