Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DFPG INVESTMENTS, INC.
155576
MICHAEL D. FRANKLIN
5390262
DFPG INVESTMENTS, INC.
155576
MICHAEL FRANKLIN
5390262
DFPG INVESTMENTS, INC.
155576
MICHAEL DAVID FRANKLIN
5390262
DFPG INVESTMENTS, INC.
155576
MIKE FRANKLIN
5390262
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-07-27
D/A
$3,449,688.00
Yes
$0.00
No
2019-07-31
D/A
$2,799,378.00
Yes
$0.00
Yes
2019-07-31
D/A
$2,799,378.00
Yes
$0.00
Yes
2019-07-18
D/A
$2,799,378.00
Yes
$0.00
Yes
2019-07-18
D/A
$2,799,378.00
Yes
$0.00
Yes
2019-07-09
D/A
$2,799,378.00
Yes
$0.00
Yes
2019-03-07
D/A
$866,883.00
Yes
$0.00
No
2019-01-31
D/A
$4,216,363.00
Yes
$0.00
No
2019-01-18
D/A
$866,883.00
Yes
$0.00
No
2019-01-09
D/A
$4,216,363.00
Yes
$0.00
No
2018-11-19
D/A
$866,883.00
Yes
$0.00
No
2018-11-15
D/A
$2,993,958.00
Yes
$0.00
No
2018-10-30
D/A
$3,246,065.00
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.
2018-10-30
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.
2018-10-17
D/A
$2,993,958.00
Yes
$0.00
No
2018-10-10
D/A
$866,883.00
Yes
$0.00
No
2018-10-04
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.
2018-10-04
D/A
$3,246,065.00
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.
2018-09-24
D/A
$3,246,065.00
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.
2018-09-24
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.
2018-09-12
D/A
$3,246,065.00
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.
2018-09-12
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.
2018-08-30
D/A
$3,246,065.00
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.
2018-08-29
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.
2018-08-16
D/A
$3,246,065.00
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.
2018-08-16
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.
2018-08-07
D/A
$3,246,065.00
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.
2018-08-07
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.
2018-07-27
D/A
$866,883.00
Yes
$0.00
No
2018-07-24
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.
2018-07-24
D/A
$3,246,065.00
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.
2018-07-10
D/A
$3,246,065.00
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.
2018-07-10
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.
2018-06-28
D/A
$3,246,065.00
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.
2018-06-28
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.
2018-06-14
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.
2018-06-06
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.
2018-05-22
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.
2018-05-21
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.
2018-05-08
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.
2018-04-25
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.
2018-04-12
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.
2018-03-29
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.
2018-03-23
D/A
$866,883.00
Yes
$0.00
No
2018-03-15
D
$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.
2018-02-16
D/A
$866,883.00
Yes
$0.00
No
2017-12-29
D/A
$866,883.00
Yes
$0.00
No
2017-12-21
D/A
$866,883.00
Yes
$0.00
No
2017-12-12
D/A
$866,883.00
Yes
$0.00
No