Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NYLIFE DISTRIBUTORS LLC
35350
THERESE HERNANDEZ
3180225
NYLIFE DISTRIBUTORS LLC
35350
THERESE M. HERNANDEZ
3180225
NYLIFE DISTRIBUTORS LLC
35350
THERESE M. HERNANDEZ
3180225
NYLIFE DISTRIBUTORS LLC
35350
THERESE HERNANDEZ
3180225
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-07-20
D/A
$462,381.00
Yes
$0.00
No
2021-03-02
D/A
$400,000.00
Yes
$0.00
No
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR A SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE IT RECEIVES FROM THE ISSUER.
2020-07-20
D/A
$448,084.00
No
$0.00
No
2019-07-19
D/A
$421,084.00
No
$0.00
No
2019-07-19
D/A
$10,000.00
Yes
$0.00
No
2019-03-01
D/A
$225,000.00
Yes
$0.00
No
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR A SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE IT RECEIVES FROM THE ISSUER.
2018-07-20
D/A
$50,000.00
Yes
$0.00
No
2018-07-20
D/A
$10,000.00
Yes
$0.00
No
2018-07-20
D/A
$337,573.00
No
$0.00
No
2018-07-20
D/A
$50,000.00
Yes
$0.00
No
2018-03-02
D/A
$150,000.00
Yes
$0.00
No
THE AMOUNT INDICATED ABOVE IS NOT A COMMISSION OR A SALES LOAD INCURRED BY THE ISSUER ITSELF OR BY ANY INVESTOR, BUT RATHER IS PAID SOLELY BY THE ISSUER-S MANAGER OUT OF THE MANAGEMENT FEE IT RECEIVES FROM THE ISSUER.
2017-09-15
D
$500,000.00
Yes
$0.00
Yes
PLACEMENT AGENT FEE
2017-07-21
D/A
$50,000.00
Yes
$0.00
No
2017-07-21
D/A
$500,000.00
Yes
$0.00
No
2017-07-21
D/A
$10,000.00
Yes
$0.00
No
2017-07-21
D/A
$10,000.00
Yes
$0.00
No
2016-07-22
D/A
$150,000.00
Yes
$0.00
No
2016-07-22
D/A
$10,000.00
Yes
$0.00
No
2016-07-22
D/A
$50,000.00
Yes
$0.00
No
2016-07-22
D/A
$300,000.00
Yes
$0.00
No
2016-07-22
D/A
$10,000.00
Yes
$0.00
No
2015-10-09
D/A
$1,900,000.00
Yes
$0.00
No
DENISE SPILLANE, PREVIOUSLY LISTED AT ITEM 12 FOR NYLIFE DISTRIBUTORS LLC, IS NO LONGER EMPLOYED IN THAT CAPACITY.
2015-10-09
D/A
$2,600,000.00
Yes
$0.00
No
2015-07-22
D/A
$50,000.00
Yes
$0.00
No
2015-07-22
D/A
$200,000.00
Yes
$0.00
No
2015-07-22
D/A
$50,000.00
Yes
$0.00
No
2015-07-22
D/A
$10,000.00
Yes
$0.00
No
2015-07-22
D/A
$150,000.00
Yes
$0.00
No
2015-07-22
D/A
$10,000.00
Yes
$0.00
No
2014-10-09
D/A
$1,500,000.00
Yes
$0.00
No
DENISE SPILLANE, PREVIOUSLY LISTED AT ITEM 12 FOR NYLIFE DISTRIBUTORS LLC, IS NO LONGER EMPLOYED IN THAT CAPACITY.
2014-10-09
D/A
$2,600,000.00
Yes
$0.00
No
2014-07-22
D
$50,000.00
Yes
$0.00
No
2014-07-22
D
$10,000.00
Yes
$0.00
No
2014-07-22
D
$20,000.00
Yes
$0.00
No
2014-07-22
D
$60,000.00
Yes
$0.00
No
2014-07-22
D
$10,000.00
Yes
$0.00
No
2013-10-09
D/A
$1,500,000.00
Yes
$0.00
No
DENISE SPILLANE, PREVIOUSLY LISTED AT ITEM 12 FOR NYLIFE DISTRIBUTORS LLC, IS NO LONGER EMPLOYED IN THAT CAPACITY.
2012-10-09
D/A
$1,000,000.00
Yes
$0.00
No
2011-10-17
D/A
$500,000.00
Yes
$0.00
No
2010-10-21
D
$80,000.00
Yes
$0.00
No