Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

RIVERSTONE WEALTH MANAGEMENT
40418
RESENDEZ, CARLOS
4363178
RIVERSTONE WEALTH MANAGEMENT
40418
CARLOS RESENDEZ
4363178
CARY STREET PARTNERS
128089
CARLOS RESENDEZ
4363178
CARY STREET PARTNERS
128089
CARLOS RESENDEZ
4363178
CARY STREET PARTNERS
128089
CARLOS RESENDEZ
4363178
CARY STREET PARTNERS
128089
CARLOS RESENDEZ
4363178
CARY STREET PARTNERS
128545
CARLOS RESENDEZ
4363178
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-11-29
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-10-24
D/A
$500,544.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-08-21
D/A
$500,544.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-08-07
D/A
$500,544.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-07-24
D/A
$500,544.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-07-10
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-06-08
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-05-17
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-05-01
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-04-24
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-04-10
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-03-27
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-03-13
D/A
$857,544.00
No
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-10-24
D/A
$632,333.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-10-11
D/A
$632,333.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-10-03
D/A
$632,333.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-07-05
D/A
$1,012,345.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-06-27
D/A
$1,012,345.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-05-31
D/A
$1,012,345.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-08-24
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-08-17
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-08-17
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-08-10
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-08-03
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-07-21
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-07-13
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-07-06
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-06-15
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-06-01
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2015-05-06
D/A
$499,750.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-02-21
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2013-01-07
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-12-17
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-12-04
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-11-13
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-11-07
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-29
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2010-07-28
D/A
$849,133.00
Yes
$0.00
No
2010-07-09
D/A
$849,133.00
Yes
$0.00
No
2010-06-25
D/A
$849,133.00
Yes
$0.00
No
2010-06-16
D/A
$849,133.00
Yes
$0.00
No
2010-03-23
D/A
$849,133.00
Yes
$0.00
No
2010-03-18
D/A
$849,133.00
Yes
$0.00
No
2010-03-09
D/A
$849,133.00
Yes
$0.00
No
2010-02-23
D/A
$849,133.00
Yes
$0.00
No
2010-02-22
D/A
$849,133.00
Yes
$0.00
No
2010-02-08
D/A
$849,133.00
Yes
$0.00
No
2010-02-02
D/A
$849,133.00
Yes
$0.00
No
2010-01-12
D/A
$849,133.00
Yes
$0.00
No
2009-12-30
D/A
$849,133.00
Yes
$0.00
No
2009-12-15
D/A
$849,133.00
Yes
$0.00
No
2009-12-07
D/A
$849,133.00
Yes
$0.00
No
2009-11-09
D/A
$849,133.00
Yes
$0.00
No