Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

GAR WOOD SECURITIES, LLC
138033
ELLIE SARMADI
5343254
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2013-09-20
D/A
$0.00
Yes
$1,586,077.00
Yes
2013-09-20
D/A
$0.00
No
$4,648,601.00
Yes
2013-09-19
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS OF THE INVESTMENT MANAGER AND ITS AFFILIATES.