Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ROYAL ALLIANCE ASSOCIATES, INC.
23131
CARLOS A. FARELO
4827194
ROYAL ALLIANCE ASSOCIATES INC.
23131
CARLOS A. FARELO
4827194
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-07-17
D/A
$4,467,881.00
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.
2017-06-13
D/A
$2,422,311.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2016-10-11
D/A
$4,467,881.00
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.
2016-08-19
D/A
$4,467,881.00
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.