Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FORESIDE FINANCIAL SERVICES, LLC
148477
THOMAS SEFTENBERG
3127527
FORESIDE FINANCIAL SERVICES, LLC
148477
THOMAS SEFTENBERG
3127527
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-10
D/A
$1,417,916.00
No
$0.00
No
2026-02-13
D/A
$1,286,454.00
Yes
$0.00
No
DRIEHAUS SECURITIES LLC IS NO LONGER A REGISTERED BROKER-DEALER AND DOES NOT RECEIVE COMMISSIONS.
2026-01-16
D/A
$198,351.00
No
$0.00
No
2025-02-13
D/A
$668,603.00
Yes
$0.00
No
DRIEHAUS SECURITIES LLC IS NO LONGER A REGISTERED BROKER-DEALER AND DOES NOT RECEIVE COMMISSIONS.
2025-01-17
D/A
$104,559.00
No
$0.00
No
2024-02-13
D/A
$396,298.00
Yes
$0.00
No
DRIEHAUS SECURITIES LLC IS NO LONGER A REGISTERED BROKER-DEALER, AND DOES NOT RECEIVE COMMISSIONS.
2024-01-17
D/A
$34,010.00
No
$0.00
No
2023-02-13
D/A
$261,608.00
Yes
$0.00
No
DRIEHAUS SECURITIES LLC IS NO LONGER A REGISTERED BROKER-DEALER, AND DOES NOT RECEIVE COMMISSIONS.
2023-01-17
D/A
$17,005.00
No
$0.00
No
2022-02-14
D/A
$214,683.00
Yes
$0.00
No
DRIEHAUS SECURITIES LLC IS NO LONGER A REGISTERED BROKER-DEALER, AND DOES NOT RECEIVE COMMISSIONS.
2022-01-19
D/A
$5,597.00
No
$0.00
No
2021-02-11
D/A
$133,090.00
Yes
$0.00
No
DRIEHAUS SECURITIES LLC IS NO LONGER A REGISTERED BROKER-DEALER, AND DOES NOT RECEIVE COMMISSIONS.
2020-02-11
D/A
$39,817.00
Yes
$0.00
No
DRIEHAUS SECURITIES LLC IS NO LONGER A REGISTERED BROKER-DEALER, AND DOES NOT RECEIVE COMMISSIONS.