Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DIRECT CAPITAL SECURITIES, INC.
29639
CINDY C. CHIU
4663184
DIRECT CAPITAL SECURITIES, INC.
29639
CINDY C. W. CHIU
4663184
CENTAURUS FINANCIAL INC
30833
CINDY
4663184
CENTAURUS FINANCIAL
30833
CINDY CHIU
4663184
CENTAURUS FINANCIAL INC
30833
CINDY CHIU
4663184
CENTAURUS FINANCIAL, INC.
30833
CINDY C. CHIU
4663184
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2013-02-22
D/A
$769,000.00
Yes
$0.00
No
2012-09-04
D/A
$365,405.00
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.
2012-08-17
D/A
$365,405.00
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.
2012-06-27
D/A
$365,405.00
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.
2012-06-08
D/A
$365,405.00
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.
2012-06-06
D/A
$350,385.00
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.
2012-05-25
D/A
$365,405.00
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.
2012-05-09
D/A
$365,405.00
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.
2012-04-26
D/A
$365,405.00
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.
2012-04-18
D/A
$365,405.00
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.
2010-12-08
D/A
$214,040.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-11-04
D/A
$205,080.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-11-02
D/A
$52,800.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES DUE DILIGENCE FEE
2010-10-27
D/A
$193,080.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-10-13
D/A
$163,880.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-10-01
D/A
$47,300.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES DUE DILIGENCE FEE
2010-10-01
D/A
$148,120.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-09-23
D/A
$132,120.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-09-22
D/A
$41,800.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES DUE DILIGENCE FEE
2010-09-01
D/A
$115,120.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-08-19
D/A
$95,520.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-08-10
D/A
$75,920.00
Yes
$0.00
No
SALES COMMISSION INCLUDES DUE DILIGENCE FEE
2010-07-13
D/A
$1,883,549.00
No
$0.00
No
2009-10-16
D/A
$70,000.00
Yes
$0.00
No
2009-08-31
D/A
$70,000.00
Yes
$0.00
No
2009-07-16
D/A
$70,000.00
Yes
$0.00
No
2009-06-24
D/A
$70,000.00
Yes
$0.00
No
2009-06-01
D/A
$70,000.00
Yes
$0.00
No
2009-04-27
D/A
$70,000.00
Yes
$0.00
No
2009-04-16
D/A
$70,000.00
Yes
$0.00
No
2009-02-24
D
$3,000,000.00
Yes
$0.00
No