Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NATIONAL SECURITES CORPORATION
7569
FRANK L. SMITH IV
4411417
NATIONAL SECURITES CORPORATION
7599
FRANK L. SMITH
4411417
NATIONAL SECURITES CORPORATION
7569
FRANK L. SMITH
4411417
NATIONAL SECURITIES CORP.
7569
FRANK SMITH
4411417
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2018-06-05
D/A
$2,288,992.00
Yes
$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.
2018-05-21
D/A
$2,288,992.00
Yes
$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.
2018-04-25
D/A
$2,288,992.00
Yes
$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.
2018-04-12
D/A
$2,288,992.00
Yes
$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.
2018-03-29
D/A
$2,288,992.00
Yes
$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.
2018-03-14
D/A
$2,288,992.00
Yes
$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.
2018-03-01
D/A
$2,288,992.00
Yes
$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.
2018-02-14
D/A
$2,288,992.00
Yes
$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.
2018-01-31
D/A
$2,288,992.00
Yes
$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.
2018-01-16
D/A
$2,288,992.00
Yes
$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.
2017-12-29
D/A
$1,456,070.00
Yes
$0.00
No
2017-12-29
D/A
$2,288,992.00
Yes
$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.
2017-12-21
D/A
$1,456,070.00
Yes
$0.00
No
2017-12-14
D/A
$2,751,023.00
Yes
$0.00
No
2017-12-14
D
$2,288,992.00
Yes
$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.
2017-12-13
D/A
$1,456,070.00
Yes
$0.00
No
2017-11-28
D/A
$1,456,070.00
Yes
$0.00
No
2017-11-22
D/A
$2,751,023.00
Yes
$0.00
No
2017-11-13
D/A
$1,456,070.00
Yes
$0.00
No