Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
UNGERECHT, JOSHUA
5183573
INDEPENDENT FINANCIAL GROUP, LLC
7717
INDEPENDENT FINANCIAL GROUP, LLC
7717
JOSHUA UNGERECHT
5183573
INDEPENDENT FINANCIAL GROUP
7717
JOSHUA UNGERECHT
5183573
UNGERECHT, JOSHUA
5183573
INDEPENDENT FINANCIAL GROUP, LLC
7717
JOSHUA UNGERECHT
5183573
STEVEN L. FALK + ASSOCIATES INC
14297
NELSONREID, INC.
45503
JOSHUA P. UNGERECHT
5183573
STEVEN L. FALK + ASSOCIATES INC.
14297
JOSHUA P. UNGERECHT
5183573
NELSONREID, INC.
45503
JOSHUA PAUL UNGERECHT
5183573
JOSHUA UNGERECHT
5183573
NELSONREID, INC.
45503
NELSONREID, INC.
45503
JOSHUA P. UNGERECHT
5183573
JOSHUA UNGERECHT
5183573
SANDLAPPER SECURITIES, LLC
137906
SANDLAPPER SECURITIES, LLC
137906
JOSHUA UNGERECHT
5183573
JOSHUA UNGERECHT
5183573
SANDLAPPER SECURITIES, LLC
137906
STEVEN FAULK + ASSOCIATES
14297
JOSHUA UNGERECHT
5183573
SANDLAPPER SECURITIES, LLC
137906
JOSHUA UNGERECHT
5183573
SANDLAPPER SECURITIES, LLC
137906
JOSHUA P. UNGERECHT
5183573
SANDLAPPER SECURITIES, LLC
137906
JOSHUA P. UNGERECHT
5183573
SANDLAPPER SECURITIES, LLC
137906
JOSHUA P. UNGERECHT
5183573
LIGHTHOUSE CAPITAL GROUP, LLC
169135
JOSHUA UNGERECHT
5183573
LIGHTHOUSE CAPITAL GROUP, LLC
169135
JOSHUA P. UNGERECHT
5183573
JOSHUA UNGERECHT
5183573
LIGHHOUSE CAPITAL GROUP, LLC
169135
JOSHUA UNGERECHT
5183573
LIGHHOUSE CAPITAL GROUP, LLC
169135
LIGHTHOUSE CAPITAL GROUP LLC
169135
JOSHUA UNGERECHT
5183573
JOSHUA UNGERECHT
5183573
LIGHTHOUSE CAPITAL GROUP, LLC
169135
JOSHUA UNGERECHT
5183573
LIGHTHOUSE CAPITAL GROUP, LLC
169135
JOSHUA UNGERECHT
5183573
LIGHTHOUSE CAPITAL GROUP, LLC
169135
JOSHUA UNGERECHT
5183573
LIGHTHOUSE CAPITAL GROUP LLC
169135
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$605,125.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS AND ALLOWANCES FOR MARKETING.
D/A
$429,000.00
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
$429,000.00
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
$696,243.00
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
$715,609.00
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
$303,284.00
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
$696,243.00
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
$696,243.00
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
$303,284.00
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
$696,243.00
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
$715,609.00
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
$303,284.00
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
$303,284.00
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
$696,243.00
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
$303,284.00
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
$696,243.00
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
$715,609.00
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
$303,284.00
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
$829,500.00
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
$829,500.00
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
$829,500.00
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
$829,500.00
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
$829,500.00
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
$829,500.00
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
$829,500.00
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
$829,500.00
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
$300,000.00
Yes
$0.00
No
MARKETING + DUE DILIGENCE EXPENSE ALLOWANCES, SELLING COMMISSIONS AND MANAGING BROKER-DEALER EXPENSES
