Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

VFG SECURITIES, INC.
15121
CHRISTOPHER DUKES
4712873
VFG SECURITIES
15121
CHRIS DUKES
4712873
WESTPARK CAPITAL
39914
CHRISTOPHER DUKES
4712873
WESTPARK CAPITAL INC
39914
CHRISTOPHER DUKES
4712873
WESTPARK CAPITAL, INC.
39914
CHRISTOPHER M DUKES
4712873
WESTPARK CAPITAL, INC.
39914
CHRISTOPHER MICHAEL DUKES
4712873
WESTPARK CAPITAL
39914
CHRISTOPHER DUKES
4712873
WESTPARK CAPITAL
39914
CHRISTOPHER DUKES
4712873
WESTPARK CAPITAL
39914
CHRIS DUKES
4712873
WESTPARK CAPITAL, INC.
39914
CHRISTOPHER MICHAEL DUKES
4712873
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-02-19
D/A
$700,450.00
Yes
$0.00
No
2026-01-13
D/A
$700,450.00
Yes
$0.00
No
2025-11-13
D/A
$700,450.00
Yes
$0.00
No
2025-10-22
D/A
$700,450.00
Yes
$0.00
No
2025-09-18
D/A
$700,450.00
Yes
$0.00
No
2025-09-17
D/A
$7,412,156.00
Yes
$0.00
No
2025-09-08
D/A
$700,450.00
Yes
$0.00
No
2025-04-09
D/A
$619,101.00
Yes
$0.00
No
2025-04-07
D/A
$619,101.00
Yes
$0.00
No
2025-03-18
D/A
$1,336,419.00
Yes
$0.00
No
2025-01-06
D/A
$619,101.00
Yes
$0.00
No
2024-12-13
D/A
$619,101.00
Yes
$0.00
No
2024-10-17
D/A
$619,101.00
Yes
$0.00
No
2024-08-15
D/A
$619,101.00
Yes
$0.00
No
2024-03-22
D/A
$7,098,393.00
Yes
$0.00
No
2023-03-28
D/A
$5,302,325.00
Yes
$0.00
No
2022-03-11
D/A
$1,325,837.00
No
$0.00
No
2021-09-28
D/A
$4,437,461.00
Yes
$0.00
No
2021-03-12
D/A
$7,500,000.00
Yes
$0.00
No
2020-07-17
D/A
$5,571,207.00
Yes
$0.00
No
2020-04-07
D/A
$5,886,495.00
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.
2020-03-18
D/A
$5,886,495.00
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.
2020-03-13
D/A
$7,500,000.00
Yes
$0.00
No
2020-01-29
D/A
$5,886,495.00
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.
2020-01-14
D/A
$5,886,495.00
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.
2019-12-31
D/A
$5,886,495.00
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.
2019-12-17
D/A
$5,886,495.00
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.
2019-12-03
D/A
$5,886,495.00
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.
2019-11-19
D/A
$5,886,495.00
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.
2019-11-05
D/A
$5,886,495.00
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.
2019-10-22
D/A
$5,886,495.00
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.
2019-10-08
D/A
$5,886,495.00
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.
2019-06-07
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-29
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-28
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-15
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-01
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-04-16
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-04-03
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-03-21
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-03-07
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-02-21
D
$1,333,189.00
Yes
$0.00
No
2019-01-29
D/A
$1,710,572.00
No
$0.00
No
2018-01-11
D/A
$2,054,019.00
No
$0.00
No
2016-11-30
D/A
$27,000,000.00
Yes
$0.00
No
ESTIMATE ASSUMES ALL SECURITIES SOLD IN OFFERING. ACTUAL FEES WILL BE BASED ON SECURITIES ACTUALLY SOLD. ACTUAL FEES PAID TO DATE - $5,188,234.64.
2015-12-16
D/A
$27,000,000.00
Yes
$0.00
No
ESTIMATE ASSUMES ALL SECURITIES SOLD IN OFFERING. ACTUAL FEES WILL BE BASED ON SECURITIES ACTUALLY SOLD. ACTUAL FEES PAID TO DATE - $722,166.