Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

1ST GLOBAL CAPITAL CORP.
30349
MICHELE E. TREMBLAY
4438927
MICHELE TREMBLAY
4438927
1ST GLOBAL CAPITAL CORPORATION
30349
1ST GLOBAL CAPITAL CORP.
30349
MICHELE E. TREMBLAY
4438927
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-10-03
D/A
$2,742,925.00
Yes
$0.00
No
2017-08-22
D/A
$1,000,081.00
Yes
$0.00
No
2017-08-11
D/A
$2,742,925.00
Yes
$0.00
No
2017-08-01
D/A
$2,742,925.00
Yes
$0.00
No
2017-07-20
D/A
$1,000,081.00
Yes
$0.00
No
2017-07-20
D/A
$1,903,831.00
Yes
$0.00
Yes
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.
2017-07-13
D/A
$2,742,925.00
Yes
$0.00
No
2017-07-10
D/A
$1,000,081.00
Yes
$0.00
No
2017-07-06
D/A
$1,000,081.00
Yes
$0.00
No
2017-07-06
D/A
$1,903,831.00
Yes
$0.00
Yes
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.
2017-06-29
D/A
$1,000,081.00
Yes
$0.00
No
2017-06-27
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-19
D/A
$1,000,081.00
Yes
$0.00
No
2017-06-19
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-06
D/A
$2,742,925.00
Yes
$0.00
No
2017-06-02
D/A
$1,903,831.00
Yes
$0.00
Yes
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.
2017-05-31
D/A
$1,000,081.00
Yes
$0.00
No
2017-05-24
D/A
$1,903,831.00
Yes
$0.00
Yes
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.
2017-05-23
D/A
$1,000,081.00
Yes
$0.00
No
2017-05-23
D/A
$2,742,925.00
Yes
$0.00
No
2017-05-17
D/A
$2,742,925.00
Yes
$0.00
No
2017-05-11
D/A
$1,000,081.00
Yes
$0.00
No
2017-05-11
D/A
$1,903,831.00
Yes
$0.00
Yes
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.
2017-05-05
D/A
$1,903,831.00
Yes
$0.00
Yes
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.
2017-05-04
D/A
$2,742,925.00
Yes
$0.00
No
2017-05-02
D/A
$1,000,081.00
Yes
$0.00
No
2017-04-24
D/A
$2,742,925.00
Yes
$0.00
No
2017-04-21
D/A
$1,903,831.00
Yes
$0.00
Yes
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.
2017-04-20
D/A
$1,000,081.00
Yes
$0.00
No
2013-08-20
D/A
$2,124,585.00
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.
2013-06-19
D/A
$2,124,585.00
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.
2013-04-09
D/A
$2,124,585.00
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.
2013-01-09
D/A
$2,124,585.00
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.
2012-12-28
D/A
$2,124,585.00
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.