Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FIRST ALLIED SECURITIES INC.
32444
JOSEPH LANGLOIS
4216281
FIRST ALLIED SECURITIES, INC.
32444
JOSEPH LANGLOIS
4216281
FIRST ALLIED SECURITIES, INC.
32444
JOSEPH H. LANGLOIS, III
4216281
DFPG INVESTMENTS
155576
JOSEPH LANGLOIS III
4216281
DFPG INVESTMENTS, INC.
155576
JOSEPH LANGLOIS III
4216281
DFPG INVESTMENTS, INC.
155576
JOSEPH H LANGLOIS III
4216281
DFPG INVESTMENT, INC.
155576
JOSEPH A. LANGLOIS III
4216281
DFPG INVESTMENTS, LLC
155575
JOSEPH LANGLOIS
4216281
DFPG INVESTMENTS, LLC
155576
JOSEPH LANGLOIS
4216281
DFPG INVESTMENTS, LLC
155576
JOSEPH LANGLOIS
4216281
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-08-24
D/A
$10,150,000.00
Yes
$0.00
Yes
PLACEMENT FEES MAY BE WAIVED IN WHOLE OR IN PART BY THE ISSUER IN ITS DISCRETION.
2022-02-09
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-01-21
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-01-05
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2020-11-19
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-11-06
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-30
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-16
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-09
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-10-02
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-09-25
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-09-16
D/A
$1,734,557.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-12-26
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-12-19
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-12-05
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-11-26
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-11-14
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-10-31
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-10-17
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-10-04
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-04-11
D
$2,758,615.00
Yes
$0.00
No
2017-01-13
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-11-18
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-11-04
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-10-21
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-09-23
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-09-16
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-09-09
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-08-29
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2016-08-08
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
2015-07-31
D/A
$683,094.00
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.
2015-06-02
D/A
$683,094.00
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.
2015-05-21
D/A
$683,094.00
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.
2015-04-29
D/A
$683,094.00
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.
2015-03-26
D/A
$683,094.00
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.
2015-03-18
D/A
$683,094.00
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.
2015-03-03
D/A
$683,094.00
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.
2015-02-19
D/A
$683,094.00
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.
2015-01-28
D/A
$683,094.00
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.
2012-04-27
D/A
$181,526.00
No
$0.00
No
2012-04-05
D/A
$110,535.00
No
$0.00
No
2012-01-06
D/A
$1,258,355.00
No
$0.00
No
2011-12-30
D/A
$293,403.00
No
$0.00
No
2011-12-23
D/A
$279,507.00
No
$0.00
No
2011-12-05
D/A
$1,042,681.00
No
$0.00
No
2011-11-29
D/A
$260,227.00
No
$0.00
No
2011-11-29
D/A
$1,034,505.00
No
$0.00
No
2011-11-21
D/A
$248,312.00
No
$0.00
No
2011-11-04
D/A
$217,265.00
No
$0.00
No
2011-10-31
D/A
$873,890.00
No
$0.00
No
2011-10-31
D/A
$205,057.00
No
$0.00
No
2011-10-21
D/A
$106,198.00
No
$0.00
No
2011-10-21
D/A
$25,273.00
No
$0.00
No
2011-10-21
D/A
$602,991.00
No
$0.00
No
2011-10-17
D/A
$544,463.00
No
$0.00
No
2011-10-14
D/A
$82,255.00
No
$0.00
No
2011-10-05
D/A
$60,055.00
No
$0.00
No
2011-09-16
D/A
$418,537.00
No
$0.00
No
2011-03-16
D/A
$214,339.00
No
$0.00
No
2011-03-07
D/A
$183,264.00
No
$0.00
No