Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

1ST GLOBAL CAPITAL CORP.
30349
LEONARD R. BETTENCOURT
4025897
LEONARD BETTENCOURT
4025897
1ST GLOBAL CAPITAL CORPORATION
30349
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2018-03-01
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-02-14
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-01-31
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-01-31
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-01-16
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-12-18
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-11-29
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-11-15
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-11-01
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-24
D/A
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-06
D
$4,979,255.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDES ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2014-05-16
D/A
$745,487.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2014-02-20
D/A
$745,487.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2014-02-05
D/A
$745,487.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2014-01-27
D/A
$519,931.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2014-01-21
D/A
$745,487.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-09-10
D/A
$737,021.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-08-01
D/A
$737,021.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2010-11-03
D/A
$2,828,429.00
No
$0.00
No
2010-09-17
D/A
$890,050.00
No
$0.00
No
2010-08-27
D/A
$898,625.00
No
$0.00
No
2010-06-24
D/A
$890,050.00
No
$0.00
No
2010-06-01
D/A
$898,625.00
No
$0.00
No
2010-06-01
D/A
$890,050.00
No
$0.00
No
2010-05-19
D/A
$890,050.00
No
$0.00
No
2010-04-27
D/A
$890,050.00
No
$0.00
No
2010-04-27
D/A
$898,625.00
No
$0.00
No
2010-04-14
D/A
$898,625.00
No
$0.00
No
2010-04-14
D
$890,050.00
No
$0.00
No
2010-04-13
D/A
$2,828,429.00
No
$0.00
No
2009-07-29
D/A
$205,500.00
No
$0.00
No
2009-06-02
D/A
$205,500.00
No
$0.00
No
2009-04-24
D/A
$205,500.00
No
$0.00
No