Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ADVANCED EQUITIES INC.
35545
ERIC RICHARDSON
3182616
ADVANCED EQUITIES INC.
35545
ERIC RICHARDSON
3182616
ADVANCED EQUITIES INC.
35545
ERIC RICHARDSON
3182616
ADVANCED EQUITIES INC.
35545
ERIC RICHARDSON
3182616
ADVANCED EQUITIES, INC.
35545
ERIC RICHARDSON
3182616
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2012-11-07
D/A
$1,870,334.00
No
$0.00
No
2012-04-27
D/A
$116,184.00
No
$0.00
No
2012-04-13
D/A
$102,684.00
No
$0.00
No
2012-04-05
D/A
$82,982.00
No
$0.00
No
2012-03-28
D/A
$19,952.00
No
$0.00
No
2012-03-21
D
$95,034.00
No
$0.00
No
2012-01-06
D/A
$1,258,355.00
No
$0.00
No
2011-12-30
D/A
$293,403.00
No
$0.00
No
2011-12-23
D/A
$279,507.00
No
$0.00
No
2011-12-05
D/A
$1,042,681.00
No
$0.00
No
2011-11-29
D/A
$53,898.00
No
$0.00
No
2011-11-29
D/A
$260,227.00
No
$0.00
No
2011-11-29
D/A
$165,566.00
No
$0.00
No
2011-11-29
D/A
$1,034,505.00
No
$0.00
No
2011-11-21
D/A
$248,312.00
No
$0.00
No
2011-11-21
D/A
$165,566.00
No
$0.00
No
2011-11-14
D/A
$10,273.00
No
$0.00
No
2011-11-04
D/A
$217,265.00
No
$0.00
No
2011-10-31
D/A
$205,057.00
No
$0.00
No
2011-10-31
D/A
$873,890.00
No
$0.00
No
2011-10-31
D/A
$92,801.00
No
$0.00
No
2011-10-21
D/A
$25,273.00
No
$0.00
No
2011-10-21
D/A
$602,991.00
No
$0.00
No
2011-10-17
D/A
$544,463.00
No
$0.00
No
2011-10-14
D/A
$10,273.00
No
$0.00
No
2011-09-30
D/A
$31,842.00
No
$0.00
No
2011-09-30
D/A
$48,232.00
No
$0.00
No
2011-09-26
D/A
$48,232.00
No
$0.00
No
2011-09-08
D
$4,443.00
No
$0.00
No
2011-08-22
D/A
$24,990.00
No
$0.00
No
2011-08-10
D/A
$26,462.00
No
$0.00
No
2011-08-01
D/A
$21,962.00
No
$0.00
No
2011-07-26
D/A
$23,858.00
No
$0.00
No
2011-07-26
D/A
$17,462.00
No
$0.00
No
2011-07-19
D/A
$17,462.00
No
$0.00
No
2011-07-12
D/A
$152,432.00
No
$0.00
No
2011-07-07
D/A
$152,432.00
No
$0.00
No
2011-07-07
D/A
$101,838.00
No
$0.00
No
2011-07-07
D/A
$13,330.00
No
$0.00
No
2011-06-30
D
$4,500.00
No
$0.00
No
2011-06-24
D/A
$135,028.00
No
$0.00
No
2011-05-31
D/A
$75,605.00
No
$0.00
No
2011-05-31
D
$74,397.00
No
$0.00
No
2011-05-10
D/A
$874,286.00
No
$0.00
No
2011-05-03
D
$592,569.00
No
$0.00
No
2011-04-19
D/A
$59,617.00
No
$0.00
No
2011-04-19
D/A
$222,842.00
No
$0.00
No
2011-04-12
D
$172,876.00
No
$0.00
No
2011-04-12
D
$38,007.00
No
$0.00
No
2011-03-16
D/A
$769,889.00
No
$0.00
No
2011-03-16
D/A
$214,339.00
No
$0.00
No
2011-03-07
D/A
$728,681.00
No
$0.00
No
2011-03-07
D/A
$183,264.00
No
$0.00
No
2011-02-17
D/A
$512,660.00
No
$0.00
No
2011-02-14
D/A
$123,660.00
No
$0.00
No
2011-02-07
D/A
$374,207.00
No
$0.00
No
2011-02-07
D/A
$68,343.00
No
$0.00
No
2011-01-25
D/A
$1,026,016.00
No
$0.00
No
2010-12-27
D/A
$601,536.00
No
$0.00
No
2010-12-27
D/A
$318,522.00
No
$0.00
No
2010-12-13
D/A
$208,482.00
No
$0.00
No
2010-12-09
D/A
$436,892.00
No
$0.00
No
2010-11-10
D
$40,716.00
No
$0.00
No
2010-10-06
D/A
$147,367.00
No
$0.00
No
2010-09-13
D/A
$91,924.00
No
$0.00
No
2010-09-13
D/A
$23,297.00
No
$0.00
No
2010-09-13
D/A
$29,928.00
No
$0.00
No
2010-09-01
D
$204,180.00
No
$0.00
No
2010-08-26
D/A
$363,246.00
No
$0.00
No
2010-08-26
D/A
$126,210.00
No
$0.00
No
2010-08-10
D/A
$23,931.00
No
$0.00
No
2010-08-10
D/A
$14,476.00
No
$0.00
No
2010-08-09
D/A
$22,233.00
No
$0.00
No
2010-08-09
D/A
$58,641.00
No
$0.00
No
2010-08-09
D/A
$21,797.00
No
$0.00
No
2010-07-22
D/A
$17,261.00
No
$0.00
No
2010-06-14
D/A
$574,658.00
No
$0.00
No
2010-06-09
D/A
$249,605.00
No
$0.00
No
2010-06-08
D/A
$552,739.00
No
$0.00
No
2010-05-27
D/A
$169,709.00
No
$0.00
No
2010-05-26
D/A
$105,814.00
No
$0.00
No
2010-05-21
D
$264,937.00
No
$0.00
No
2010-05-20
D
$129,016.00
No
$0.00
No
2010-05-12
D/A
$40,811.00
No
$0.00
No
2010-05-10
D/A
$424,738.00
No
$0.00
No
2010-05-06
D/A
$110,229.00
No
$0.00
No
2010-05-03
D/A
$423,221.00
No
$0.00
No
2010-05-03
D/A
$80,229.00
No
$0.00
No
2010-04-28
D/A
$38,943.00
No
$0.00
No
2010-04-21
D/A
$0.00
No
$0.00
No
AS OF 4/21/2010, ADVANCED EQUITIES INC. WILL BE PAID $285,350.62 AND FIRST ALLIED SECURITIES INC. WILL BE PAID $58,288.00 BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS III, LLC.
2010-04-21
D
$11,801.00
No
$0.00
No
2010-04-09
D
$3,011.00
No
$0.00
No
2010-04-09
D
$14,886.00
No
$0.00
No
2010-03-16
D/A
$1,432,329.00
Yes
$0.00
No
2010-03-15
D/A
$0.00
No
$0.00
No
AS OF 3/15/2010, ADVANCED EQUITIES INC. WILL BE PAID $211,837.81 AND FIRST ALLIED SECURITIES INC. WILL BE PAID $67,731.15 BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS III, LLC.
2010-03-04
D/A
$1,334,908.00
Yes
$0.00
No
2010-01-06
D/A
$0.00
No
$0.00
No
AS OF 1/6/2010, ADVANCED EQUITIES, INC., WILL BE PAID $269,781.40 AND FIRST ALLIED SECURITIES, INC., WILL BE PAID $324,091.47, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
2009-12-21
D/A
$341,960.00
Yes
$0.00
No
2009-12-11
D/A
$0.00
No
$0.00
No
AS OF 12/11/2009, ADVANCED EQUITIES, INC., WILL BE PAID $247,529.34 AND FIRST ALLIED SECURITIES, INC., WILL BE PAID $329,724.54, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
2009-11-05
D/A
$294,229.00
Yes
$0.00
No
2009-10-26
D/A
$256,093.00
Yes
$0.00
No
2009-10-16
D/A
$152,144.00
Yes
$0.00
No
2009-10-09
D/A
$112,718.00
Yes
$0.00
No