Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CLAYTON WILLIAMS + SHERWOOD INVESTMENTS
23551
MARCUS LAM
5030836
CLAYTON, WILLIAMS + SHERWOOD INVESTMENTS
23551
MARCUS LAM
5030836
CLAYTON WILLIAMS + SHERWOOD INVESTMENTS
23551
MARCUS LAM
5030836
CLAYTON WILLIAMS + SHERWOOD INVESTMENTS
23551
MARCUS LAM
5030836
CWS INVESTMENTS
23551
MARCUS LAM
5030836
CWS INVESTMENTS
23551
MARCUS LAM
5030836
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-08-22
D
$0.00
Yes
$0.00
Yes
2019-08-22
D
$0.00
Yes
$0.00
Yes
2017-04-11
D
$0.00
Yes
$0.00
Yes
2017-02-27
D
$0.00
Yes
$0.00
Yes
2016-12-09
D
$0.00
Yes
$0.00
Yes
2016-12-06
D
$0.00
Yes
$0.00
Yes
2016-08-17
D
$0.00
Yes
$0.00
Yes
2016-02-24
D/A
$0.00
Yes
$0.00
Yes
2016-02-09
D/A
$0.00
Yes
$0.00
Yes
2016-01-19
D
$0.00
Yes
$0.00
Yes
2016-01-19
D
$0.00
Yes
$0.00
Yes
2016-01-19
D
$0.00
Yes
$0.00
Yes
2015-06-12
D
$0.00
Yes
$0.00
Yes
2014-11-24
D
$0.00
Yes
$0.00
Yes
2014-10-20
D/A
$0.00
Yes
$0.00
Yes
2014-10-20
D/A
$0.00
Yes
$0.00
Yes
2014-08-22
D
$0.00
Yes
$0.00
Yes
2014-03-14
D
$0.00
Yes
$0.00
No
2013-06-13
D
$0.00
Yes
$0.00
Yes
2012-12-10
D
$10,000.00
Yes
$10,000.00
Yes
2011-10-12
D
$1,500.00
Yes
$0.00
Yes
2011-10-12
D
$5,000.00
Yes
$0.00
Yes
2011-01-12
D/A
$300,000.00
Yes
$100,000.00
Yes
2010-08-30
D
$0.00
No
$0.00
No
THE BROKER/DEALER WILL NOT RECEIVE NOR WILL PAY SALES COMMISSIONS OR FINDERS FEES.
2010-08-30
D
$0.00
No
$0.00
No
THE BROKER/DEALER WILL NOT RECEIVE NOR WILL PAY SALES COMMISSIONS OR FINDERS FEES.
2010-02-03
D
$300,000.00
Yes
$100,000.00
Yes
2009-11-16
D
$0.00
No
$0.00
No
THE BROKER DEALEAR WILL NOT RECEIVE NOR WILL PAY SALES COMMISSIONS OR FINDERS FEES.