Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DEL RIO, LISA Y.
5039684
DIRECT CAPITAL SECURITIES, INC.
29639
DIRECT CAPITAL SECURITIES, INC.
29639
LISA Y. DEL RIO
5039684
DIRECT CAPITAL SECURITIES, INC.
29639
LISA Y. DEL RIO
5039684
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
2010-07-29
D/A
$2,756,000.00
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
2010-01-22
D/A
$2,756,000.00
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
2009-11-12
D/A
$2,756,000.00
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
2009-10-14
D/A
$2,756,000.00
Yes
$0.00
No
2009-10-06
D/A
$2,756,000.00
Yes
$0.00
No
2009-09-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-09-16
D/A
$2,756,000.00
Yes
$0.00
No
2009-08-26
D/A
$2,756,000.00
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
2009-07-21
D/A
$2,756,000.00
Yes
$0.00
No
2009-07-06
D/A
$2,756,000.00
Yes
$0.00
No
2009-06-22
D
$2,756,000.00
Yes
$0.00
No
2009-06-17
D/A
$1,657,000.00
Yes
$0.00
No
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
2009-04-27
D/A
$626,600.00
No
$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
2009-03-17
D/A
$1,630,688.00
Yes
$0.00
No
2009-03-05
D/A
$1,630,688.00
Yes
$0.00
No
2009-02-06
D/A
$1,630,688.00
Yes
$0.00
No