Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ADVANCED EQUITIES INC.
35545
SCOTT CARDONE
3192798
ADVANCED EQUITIES INC.
35545
SCOTT CARDONE
3192798
ADVANCED EQUITIES INC.
35545
SCOTT CARDONE
3192798
KATALYST SECURITIES LLC
112494
SCOTT T. CARDONE
3192798
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-02-26
D/A
$251,747.00
No
$0.00
No
2010-03-01
D/A
$1,029,642.00
No
$0.00
No
2010-02-24
D/A
$333,648.00
No
$0.00
No
2010-01-05
D/A
$0.00
No
$0.00
No
AS OF 1/5/2010, ADVANCED EQUITIES, INC. WILL BE PAID $812,084.12 AND FIRST ALLIED SECURITIES, INC. WILL BE PAID $300,000.00, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
2009-12-15
D/A
$0.00
No
$0.00
No
AS OF 11/23/2009, ADVANCED EQUITIES, INC. WILL BE PAID $774,385.60 AND FIRST ALLIED SECURITIES, INC. WILL BE PAID $316,000.00, BY THE SELLERS OF THE EQUITY SECURITIES BEING PURCHASED BY AEI WIRELESS, LLC.
2009-08-03
D/A
$417,405.00
Yes
$0.00
No
2009-07-31
D/A
$124,488.00
Yes
$0.00
No
2009-07-09
D/A
$885,229.00
Yes
$0.00
No
2009-07-06
D/A
$486,825.00
Yes
$0.00
No
2009-06-01
D/A
$291,804.00
Yes
$0.00
No
2009-04-20
D
$374,293.00
Yes
$0.00
No