Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

WOODS, THOMAS B.
4916648
WELTON STREET INVESTMENTS LLC
132111
DIRECT CAPITAL SECURITIES
29639
THOMAS WOODS
4916648
WOODS, THOMAS B.
4916648
WELTON STREET INVESTMENTS, LLC
132111
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2011-02-16
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-29
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-27
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-04
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-02
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-10
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-03
D/A
$1,630,688.00
Yes
$0.00
No
2009-10-19
D/A
$1,630,688.00
Yes
$0.00
No
2009-09-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-08-25
D/A
$1,630,688.00
Yes
$0.00
No
2009-08-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-31
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-20
D/A
$53,032.00
No
$0.00
No
THIS IS THE SALES COMMISSION IN CONNECTION WITH THE SALE OF $589,248.00
2009-05-28
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-14
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-07
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-04-09
D/A
$1,630,688.00
Yes
$0.00
No