Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAPITAL FINANCIAL SERVICES, INC.
8408
CHERYL ROMANN
3163696
CAPITAL FINANCIAL SERVICES, INC.
8408
CHERYL L. ROMANN
3163696
INTERCAROLINA FINANCIAL SERVICES, INC.
19475
CHERYL LYNN ROMANN
3163696
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-03-28
D/A
$5,302,325.00
Yes
$0.00
No
2021-09-28
D/A
$4,437,461.00
Yes
$0.00
No
2020-07-17
D/A
$5,571,207.00
Yes
$0.00
No
2018-01-19
D/A
$10,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2017-12-22
D/A
$1,951,916.00
No
$0.00
No
2017-12-04
D/A
$5,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - 7%; DUE DILIGENCE FEE - 0.5%; MARKETING FEE - 0.5%.
2017-11-17
D/A
$7,500,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.