Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

COMPREHENSIVE ASSET MANAGEMENT AND SERVICING INC.
43814
WILLIAM E. SUGG IV
4312125
APW CAPITAL INC
43814
WILLIAM SUGG
4312125
APW CAPITAL, INC.
43814
WILLIAM E. SUGG IV
4312125
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-04-03
D/A
$2,401,250.00
Yes
$72.00
No
2019-07-03
D/A
$6,015,677.00
No
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2015-01-20
D/A
$1,565,330.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2014-10-02
D
$1,565,330.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.