Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
HERNDON PLANT OAKLEY, LTD.
44971
PHILLIP M. PLANT
364393
HERNDON PLANT OAKLEY, LTD.
44971
PHILLIP M. PLANT
364393
HERNDON PLANT OAKLEY, LTD.
44971
PHILLIP M. PLANT
364393
HERNDON PLANT OAKLEY, LTD.
44971
PHILLIP M. PLANT
364393
HERNDON PLANT OAKLEY, LTD.
44971
PHILLIP MICHAEL PLANT
364393
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$106,891.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$662,110.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$623,178.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$167,621.00
Yes
$0.00
No
THE AMOUNT DISCLOSED REPRESENTS THE TOTAL AMOUNT OF SALES COMMISSION WHICH WAS PAID TO PERSONS WHO ARE PRESENTLY AND WHO HAVE PREVIOUSLY BEEN DISCLOSED IN ITEM 12. ONLY CURRENT RECIPIENTS ARE DISCLOSED IN ITEM 12.
D/A
$498,242.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$56,940.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$162,362.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$421,590.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$893,301.00
Yes
$0.00
No
THE AMOUNT DISCLOSED REPRESENTS THE TOTAL AMOUNT OF SALES COMMISSION WHICH HAS PAID TO PERSONS WHO ARE PRESENTLY AND WHO HAVE PREVIOUSLY BEEN DISCLOSED IN ITEM 12. ONLY CURRENT RECIPIENTS ARE DISCLOSED IN ITEM 12.
D/A
$723,939.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$181,908.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$156,633.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$149,682.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$189,432.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$196,618.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$893,301.00
Yes
$0.00
No
THE AMOUNT DISCLOSED REPRESENTS THE TOTAL AMOUNT OF SALES COMMISSION WHICH HAS PAID TO PERSONS WHO ARE PRESENTLY AND WHO HAVE PREVIOUSLY BEEN DISCLOSED IN ITEM 12. ONLY CURRENT RECIPIENTS ARE DISCLOSED IN ITEM 12.
D/A
$649,896.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$273,893.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$273,893.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$213,085.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$186,831.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$805,778.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$921,310.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$235,763.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$181,865.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$823,577.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$749,860.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$112,952.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$712,821.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$225,250.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$312,527.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$48,628.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$142,921.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$125,794.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$123,294.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$107,138.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$102,597.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
