Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

1ST GLOBAL CAPITAL CORP.
30349
JEFFERY S. POWELL
3181500
1ST GLOBAL CAPITAL CORP.
30349
JEFFERY S. POWELL
3181500
J SCOTT POWELL
3181500
1ST GLOBAL CAPITAL CORPORATION
30349
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-11-01
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-24
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-06
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-05
D/A
$1,062,249.00
Yes
$0.00
No
2017-09-26
D/A
$4,263,070.00
Yes
$0.00
No
2017-09-26
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-09-12
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-09-12
D/A
$4,263,070.00
Yes
$0.00
No
2017-08-29
D/A
$4,263,070.00
Yes
$0.00
No
2017-08-29
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-08-23
D/A
$1,062,249.00
Yes
$0.00
No
2017-08-14
D/A
$4,263,070.00
Yes
$0.00
No
2017-08-11
D/A
$6,004,844.00
Yes
$0.00
No
2017-07-20
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-07-06
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-06-23
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-06-09
D/A
$1,062,249.00
Yes
$0.00
No
2017-06-02
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-05-24
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-05-11
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-05-05
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-04-21
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-04-12
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-04-05
D/A
$1,062,249.00
Yes
$0.00
No
2017-03-30
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-03-22
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-03-20
D/A
$1,062,249.00
Yes
$0.00
No
2017-03-06
D/A
$1,062,249.00
Yes
$0.00
No
2017-02-24
D/A
$1,062,249.00
Yes
$0.00
No
2017-02-16
D/A
$1,062,249.00
Yes
$0.00
No
2017-02-06
D/A
$1,062,249.00
Yes
$0.00
No
2017-01-18
D/A
$6,004,844.00
Yes
$0.00
No
2017-01-09
D/A
$1,062,249.00
Yes
$0.00
No
2016-12-29
D/A
$1,062,249.00
Yes
$0.00
No
2016-12-28
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-13
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-01
D/A
$6,004,844.00
Yes
$0.00
No