Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CROWN CAPITAL SECURITIES
6312
HARMONY RUSSO
5294771
CROWN CAPITAL SECURITIES, L.P.
6312
HARMONY MCAULIFFE RUSSO
5294771
CROWN CAPITAL SECURITIES, L.P.
6312
HARMONY MAE MCAULIFFE
5294771
CROWN CAPITAL SECURITIES, L.P.
6312
HARMONY MCAULIFFE RUSSO
5294771
CROWN CAPITAL SECURITIES, LP
6312
HARMONY M. RUSSO
5294771
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-03-08
D/A
$3,192,850.00
Yes
$0.00
No
2022-08-12
D/A
$2,309,271.00
Yes
$0.00
No
2022-01-28
D/A
$1,607,421.00
No
$0.00
No
2020-09-01
D/A
$4,722,813.00
Yes
$0.00
No
2020-05-22
D/A
$2,660,000.00
Yes
$0.00
No
2019-11-14
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%
2019-10-31
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%
2019-10-17
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%
2019-10-04
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%
2019-09-23
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%
2019-09-05
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%
2019-09-05
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%
2019-08-22
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%
2019-08-14
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%
2019-07-31
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%
2019-07-18
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%
2019-07-09
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%
2019-06-28
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%