Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAROLINA FINANCIAL SECURITIES, LLC
41970
JOHN STANIER
4811895
JOHN W. STANIER
4811895
CAROLINA FINANCIAL SECURITIES
41970
CAROLINA FINANCIAL SECURITIES, LLC
41970
JOHN STANIER
4811895
CAROLINA FINANCIAL SECURITIES, LLC
41970
JOHN STANIER
4811895
CAROLINA FINANCIAL SECURITIES, LLC
41970
JOHN STANIER
4811895
CAROLINA FINANCIAL SECURITIES, LLC
41970
JOHN STANIER
4811895
CAROLINA FINANCIAL SECURITIES, LLC
41970
JOHN WOOLLCOTT STANIER
4811895
CAROLINA FINANCIAL SECURITIES, LLC
41970
JOHN W STANIER
4811895
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-08-02
D/A
$180,000.00
Yes
$0.00
No
2.0% OF LOAN PARTICIPATION FOR INVESTORS CURRENTLY PARTICIPATING IN COMPANY INDEBTEDNESS AND 4.0% FOR PARTICIPATION BY NEW INVESTORS. UP TO 50% OF SUCH PLACEMENT FEES MAY BE PAID TO CAROFIN, LLC FOR ITS ASSISTANCE IN THE PLACEMENT OF THE NOTES.
2017-07-13
D/A
$322,500.00
Yes
$0.00
No
BASED ON FULL SUBSCRIPTION. 5% (COMPRISED OF 4% COMMISSIONS AND 1% DUE DILIGENCE REIMBURSEMENT).
2017-03-02
D/A
$427,920.00
Yes
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED.
2016-10-26
D/A
$280,000.00
No
$0.00
No
5.0% OF FUNDS RAISED. CAROLINA FINANCIAL SECURITIES, LLC (CFS) WILL BE ENTITLED TO WARRANTS TO PURCHASE COMMON STOCK EQUAL TO 5% OF CFS INVESTORS- INTERESTS AT THE TIME OF CFS INVESTOR INTEREST CONVERSION.
2016-03-14
D/A
$145,702.00
Yes
$0.00
No
2016-03-04
D/A
$314,520.00
Yes
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED.
2016-01-07
D
$3,200.00
No
$0.00
No
COMMISSION PAID IS 2% OF AMOUNT RAISED
2015-08-17
D/A
$190,000.00
No
$0.00
No
5% OF CAPITAL RAISED
2015-08-14
D
$90,000.00
Yes
$0.00
No
CAROLINA FINANCIAL SECURITIES, LLC WILL ALSO RECEIVE WARRANTS FOR 1% OF THE ISSUER FOR EACH $500,000 RAISED UP TO A MAXIMUM OF 4%.
2015-07-09
D/A
$187,740.00
No
$0.00
No
4% OF THE GROSS LOAN AMOUNTS WILL BE PAID UPON FUNDING OF EACH TRANCHE
2015-07-06
D
$105,762.00
Yes
$0.00
No
2015-03-05
D/A
$280,000.00
Yes
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED, AND THE OFFERING IS BEING SOLD ON A BEST EFFORTS BASIS. SO THE TOTAL POSSIBLE COMMISSION IS $280,000 BUT COULD END UP BEING LESS IF THE OFFERINGS ISN-T FULLY SUBSCRIBED.
2014-11-14
D
$7,500.00
No
$0.00
No
5% OF CAPITAL RAISED
2014-05-19
D
$1,500.00
No
$0.00
No
6% FUNDS RAISED
2014-05-14
D
$75,000.00
Yes
$0.00
No
5% SALES COMMISSION ON AMOUNTS RAISED. SECURITIES SOLD ON A BEST EFFORTS BASIS, SO MAXIMUM $75,000 COMMISSION MIGHT NOT BE ACHIEVED. $1,150,000 SOLD TO DATE, FOR $57,500 OF COMMISSION.
2013-06-17
D
$35,000.00
No
$0.00
No
SALES COMMISSION IS 5% OF FUNDS RAISED. ONLY $22,500 HAS BEEN PAID OUT TO DATE.
2012-11-29
D/A
$296,460.00
Yes
$0.00
No
SCOTT RICKARD IS NOT RECEIVING ANY SALES COMMISSIONS. THE SALES COMMISSIONS ASSOCIATED WITH HIS SALES ARE BEING PAID TO CAROLINA FINANCIAL SECURITIES.
2012-11-23
D
$25,000.00
No
$0.00
No
2012-09-25
D
$0.00
No
$0.00
No
THIS ENTITY IS NOT PAYING ANY SALES COMMISSIONS OR FINDERS FEES.