Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER M. VIZZI
5095868
INDEPENDENT FINANCIAL GROUP
7717
CHRIS VIZZI
5095868
INDEPENDENT FINANCIAL GROUP
7717
CHRIS VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER M. VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRIS VIZZI
5095868
INDEPENDENT FINANCIAL GROUP LLC
7717
CHRISTOPHER M. VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER M. VIZZI
5095868
INDEPENDENT FINANCIAL GROUP
7717
CHRIS VIZZI
5095868
INDEPENDENT FINANCIAL GROUP LLC
7717
CHRISTOPHER VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER VIZZI
5095868
INDEPENDENT FINANCIAL GROUP LLC
7717
CHRISTOPHER M. VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER MICHAEL VIZZI
5095868
INDEPENDENT FINANCIAL GROUP LLC
7717
CHRIS VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHISTOPHER MICHAEL VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER MICHAEL VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRIS VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER MICHAEL VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRISTOPHER MICHAEL VIZZI
5095868
INDEPENDENT FINANCIAL GROUP, LLC
7717
CHRIS VIZZI
5095868
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$5,089,241.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$32,500,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
D/A
$3,267,882.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
D/A
$10,150,000.00
Yes
$0.00
Yes
PLACEMENT FEES MAY BE WAIVED IN WHOLE OR IN PART BY THE ISSUER IN ITS DISCRETION.
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
D/A
$2,910,000.00
Yes
$0.00
No
AMOUNT INCLUDES 6% COMMISSION, 1.25% DEALER MANAGER FEE AND PLACEMENT AGENT FEE OF 1.65%
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$10,268,292.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$2,422,585.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$3,300,000.00
Yes
$0.00
No
AMOUNT INCLUDES 7% SALES COMMISSION AND 3% DEALER MANAGER FEE.
D/A
$1,765,797.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
D/A
$617,920.00
Yes
$0.00
No
BASED ON 7.0% SALES COMMISSIONS ON $80,000,000 FOR REGISTERED BROKER-DEALERS ENTERING INTO SELLING AGREEMENTS WITH THE ISSUER. NONE OF THE SALES COMMISSIONS WILL BE PAID OUT OF THE PROCEEDS OF THE OFFERING.
D/A
$617,920.00
Yes
$0.00
No
BASED ON 7.0% SALES COMMISSIONS ON $80,000,000 FOR REGISTERED BROKER-DEALERS ENTERING INTO SELLING AGREEMENTS WITH THE ISSUER. NONE OF THE SALES COMMISSIONS WILL BE PAID OUT OF THE PROCEEDS OF THE OFFERING.
D/A
$471,455.00
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.
D/A
$471,455.00
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.
D/A
$2,091,360.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
D/A
$750,000.00
Yes
$0.00
No
NONE OF THE COMMISSIONS WILL BE PAID OUT OF THE PROCEEDS OF THE OFFERING. THE ESTIMATED AMOUNT IS BASED ON ASSUMPTION THAT THE FULL AMOUNT OF THE OFFERING WILL BE SOLD THROUGH BROKERS.
