Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SWISS RE CAPITAL MARKETS CORPORATION
39978
SWISS RE CAPITAL MARKETS CORPORATION
39978
SWISS RE CAPITAL MARKETS CORPORATION
39978
JUDITH ELLEN KLUGMAN
2243778
SWISS RE CAPITAL MARKETS CORPORATION
39978
ARJUN GUPTA
7342012
SWISS RE CAPITAL MARKETS CORPORATION
39978
ARJUN GUPTA
7342012
SWISS RE CAPITAL MARKETS CORPORATION
39978
DANIEL SCOTT CONKLIN
6209386
SWISS RE CAPITAL MARKETS CORPORATION
39978
CHARLES MCRAE MIXON
4723181
SWISS RE CAPITAL MARKETS CORPORATION
39978
DANIEL SCOTT CONKLIN
6209386
SWISS RE CAPITAL MARKETS CORPORATION
39978
CHARLES MCRAE MIXON III
4723181
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-12-17
D/A
$150,000.00
Yes
$0.00
No
ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS
2025-10-27
D
$58,000.00
No
$58,000.00
No
ESTIMATES SALES COMMISSIONS INCLUDES AMOUNTS WHICH MAY BE PAYABLE UNTIL YEAR-END
2025-09-04
D/A
$425,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2025-02-14
D
$100,000.00
Yes
$30,000.00
Yes
2024-10-28
D
$125,000.00
No
$125,000.00
No
ESTIMATE SALES COMMISSIONS INCLUDES AMOUNTS WHICH MAY BE PAYABLE UNTIL YEAR-END
2024-09-05
D/A
$400,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2024-07-10
D
$100,000.00
Yes
$125,000.00
No
ESTIMATE SALES COMMISSIONS INCLUDES AMMOUNTS WHICH MAY BE PAYABLE UNTIL YEAR-END
2023-11-06
D
$150,000.00
No
$0.00
No
ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS
2023-09-13
D/A
$400,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2023-07-18
D
$150,000.00
Yes
$0.00
No
ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2023-07-07
D/A
$400,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2023-05-08
D
$400,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2021-02-25
D
$150,000.00
Yes
$0.00
No
ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.