Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
PATRICK LAM
4723020
PATRICK LAM
4723020
EMERSON EQUITY
130032
PATRICK W. LAM
4723020
EMERSON EQUITY LLC
130032
EMERSON EQUITY LLC
130032
PATRICK LAM
4723020
PATRICK LAM
4723020
EMERSON EQUITY LLC
130032
PATRICK LAM
4723020
EMERSON EQUITY LLC
130032
PATRICK WANG LAM
4723020
EMERSON EQUITY LLC
130032
PATRICK LAM
4723020
EMERSON EQUITY, LLC
130032
EMERSON EQUITY LLC
130032
PATRICK LAM
4723020
EMERSON EQUITY LLC
130032
PATRICK LAM
4723020
EMERSON EQUITY, LLC
130032
PATRICK LAM
4723020
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-01-09
D/A
$0.00
No
$917,900.00
Yes
2023-01-06
D
$639,246.00
No
$0.00
No
2022-12-27
D
$0.00
No
$917,900.00
Yes
2022-01-10
D
$1,644,687.00
No
$0.00
No
INCLUSIVE OF $869,960 SELLING COMMISSIONS; $255,493.06 DUE DILIGENCE FEE; $231,821.89 MARKETING/WHOLESALE FEE; AND $287,412.47 BROKER/DEALER FEE.
2022-01-05
D
$1,010,404.00
No
$0.00
No
INCLUSIVE OF $556,063.10 SELLING COMMISSIONS; $120,769.28 DUE DILIGENCE FEES; $166,786.20 MARKETING/WHOLESALE FEES; AND $166,786.20 MANAGING BROKER FEES.
2022-01-03
D
$766,624.00
No
$0.00
No
2021-11-12
D/A
$489,020.00
No
$0.00
No
2021-07-23
D
$391,020.00
No
$0.00
No
2020-12-31
D
$470,380.00
No
$0.00
No
2020-11-10
D/A
$885,831.00
No
$0.00
No
SALES COMMISSION: $494,410.00; DILIGENCE FEE: $106,751.45; WHOLESALE/MARKETING FEE: $142,335.26; MANAGEMENT FEE: $142,335.26
2020-11-10
D
$885,831.00
No
$0.00
No
SALES COMMISSION: $494,410.00; DILIGENCE FEE: $106,751.45; WHOLESALE/MARKETING FEE: $142,335.26; MANAGEMENT FEE: $142,335.26
2020-10-20
D/A
$336,357.00
No
$0.00
No
2020-08-06
D
$2,330,000.00
Yes
$0.00
No
TOTAL COMMISSIONS THAT WILL BE PAID IF ALL SECURITIES ARE SOLD AND ALL COMMISSIONS PAID.
2020-06-23
D/A
$910,123.00
No
$0.00
No
2020-05-28
D/A
$910,123.00
No
$0.00
No
2020-04-15
D/A
$910,123.00
No
$0.00
No
2020-02-26
D/A
$1,109,775.00
No
$0.00
No
SELLING COMMISSIONS: $571,963; DUE DILIGENCE FEES: $129,263; MARKETING ALLOWANCES: $178,619; MANAGING BROKER FEE: $229,930
2020-02-26
D/A
$979,514.00
No
$0.00
No
SALES COMMISSIONS: $493,776; DILIGENCE FEES: $120,634; MARKETING FEES: $159.010; MANAGING BROKER FEE: $206,094
2020-01-10
D
$980,915.00
No
$0.00
No
SALES COMMISSIONS: $495,176; DILIGENCE FEES: $115,328; MARKETING FEES: $164,317; MANAGING BROKER FEE: $206,094
2020-01-10
D/A
$980,915.00
No
$0.00
No
SALES COMMISSIONS: $495,176; DILIGENCE FEES: $115,328; MARKETING FEES: $164,317; MANAGING BROKER FEE: $206,094
2020-01-09
D
$336,357.00
No
$0.00
No
2019-12-30
D
$1,118,525.00
No
$0.00
No
SELLING COMMISSIONS: $580,712.50; DUE DILIGENCE FEES: $126,794.96; MARKETING ALLOWANCES: $181087.56; MANAGING BROKER FEE: $229,930.13
2019-12-20
D
$910,123.00
No
$0.00
No