Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ADVANCED EQUITIES INC.
35545
RAYMOND KIM
4443798
ADVANCED EQUITIES INC.
35545
RAYMOND KIM
4443798
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2011-01-25
D/A
$1,026,016.00
No
$0.00
No
2010-06-14
D/A
$574,658.00
No
$0.00
No
2010-06-08
D/A
$552,739.00
No
$0.00
No
2010-03-16
D/A
$1,432,329.00
Yes
$0.00
No
2010-03-04
D/A
$1,334,908.00
Yes
$0.00
No
2010-02-19
D/A
$948,147.00
Yes
$0.00
No
2010-01-14
D/A
$736,776.00
Yes
$0.00
No
2009-12-21
D/A
$341,960.00
Yes
$0.00
No
2009-12-21
D/A
$557,508.00
Yes
$0.00
No
2009-11-16
D/A
$413,496.00
Yes
$0.00
No
2009-11-05
D/A
$294,229.00
Yes
$0.00
No
2009-10-26
D/A
$256,093.00
Yes
$0.00
No
2009-10-22
D/A
$302,086.00
Yes
$0.00
No
2009-10-16
D/A
$152,144.00
Yes
$0.00
No
2009-10-09
D/A
$112,718.00
Yes
$0.00
No
2009-08-21
D/A
$12,161.00
Yes
$0.00
No