Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
ROTHSCHILD INVESTMENT CORP.
728
DONALD L. ROSEEN
3184246
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$442,000.00
Yes
$13,000.00
Yes
INCLUDES PAYMENTS BY GENERAL PARTNER (GP) TO ITS EMPLOYEES, WHO ARE ALSO EMPLOYEES OF KOVITZ SECURITIES, LLC, A BROKER-DEALER UNDER COMMON OWNERSHIP WITH GP. FINDERS- FEES ARE PAYMENTS TO UNAFFILIATED THIRD PARTIES WHO HAVE REFERRED INVESTORS TO ISSUER.
D/A
$415,000.00
Yes
$13,000.00
Yes
INCLUDES PAYMENTS BY GENERAL PARTNER (GP) TO ITS EMPLOYEES, WHO ARE ALSO EMPLOYEES OF KOVITZ SECURITIES, LLC, A BROKER-DEALER UNDER COMMON OWNERSHIP WITH GP. FINDERS- FEES ARE PAYMENTS TO UNAFFILIATED THIRD PARTIES WHO HAVE REFERRED INVESTORS TO ISSUER.
D/A
$400,000.00
Yes
$13,000.00
Yes
INCLUDES PMTS BY GENERAL PARTNER (GP) TO ITS EMPLOYEES, WHO ARE ALSO EMPLOYEES OF KOVITZ SECURITIES, WHICH IS UNDER COMMON OWNERSHIP WITH GP. FINDERS- FEES ARE PAYMENTS TO UNAFFILIATED THIRD PARTIES WHO HAVE REFERRED INVESTORS TO ISSUER.
D/A
$400,000.00
Yes
$13,000.00
Yes
INCLUDES PMTS BY GENERAL PARTNER (GP) TO ITS EMPLOYEES, WHO ARE ALSO EMPLOYEES OF KOVITZ SECURITIES, WHICH IS UNDER COMMON OWNERSHIP WITH GP. FINDERS- FEES ARE PAYMENTS TO UNAFFILIATED THIRD PARTIES WHO HAVE REFERRED INVESTORS TO ISSUER.
D/A
$400,000.00
Yes
$13,000.00
Yes
INCLUDES PMTS BY GENERAL PARTNER (GP) TO ITS EMPLOYEES, WHO ARE ALSO EMPLOYEES OF KOVITZ SECURITIES, WHICH IS UNDER COMMON OWNERSHIP WITH GP. FINDERS- FEES ARE PAYMENTS TO UNAFFILIATED THIRD PARTIES WHO HAVE REFERRED INVESTORS TO ISSUER.
