Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

1ST GLOBAL CAPITAL CORP.
30349
TIMOTHY C. GUPTON
5105990
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2012-02-08
D/A
$1,639,770.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-01-03
D/A
$1,639,770.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF SALES COMMISSIONS WILL BE EARNED AND PAID.
2011-12-15
D/A
$1,639,770.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF SALES COMMISSIONS WILL BE EARNED AND PAID.
2011-11-04
D/A
$735,000.00
Yes
$0.00
No
THIS RESPONSE IS BASSED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2011-09-21
D/A
$735,000.00
No
$0.00
No
2011-08-24
D/A
$735,000.00
No
$0.00
No
2011-08-10
D/A
$735,000.00
No
$0.00
No
2011-06-27
D/A
$735,000.00
No
$0.00
No