Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DFPG INVESTMENTS, INC.
155576
CHRISTOPHER L. COOK
3142516
DFPG INVESTMENTS, LLC
155576
CHRIS COOK
3142516
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-04-29
D/A
$2,519,349.00
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.
2017-10-03
D/A
$2,742,925.00
Yes
$0.00
No
2017-08-11
D/A
$2,742,925.00
Yes
$0.00
No
2017-08-01
D/A
$2,742,925.00
Yes
$0.00
No
2017-07-13
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-27
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-19
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-06
D/A
$2,742,925.00
Yes
$0.00
No
2017-05-23
D/A
$2,742,925.00
Yes
$0.00
No