Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

THORNHILL SECURITIES, INC.
22333
DAVID FUNES
5467419
THORNHILL SECURITIES, INC.
22333
DAVID FUNES
5467419
THORNHILL SECURITIES, INC.
22333
DAVID JOHN FUNES
5467419
THORNHILL SECURITIES, INC.
22333
DAVID JOHN FUNES
5467419
THORNHILL SECURITIES, INC.
22333
DAVID JOHN FUNES
5467419
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-04-11
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2024-02-09
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2024-01-25
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2024-01-12
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-12-21
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-12-12
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-09-28
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-09-14
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-09-01
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-07-21
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-06-15
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-05-05
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-04-07
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-03-23
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-03-10
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2023-03-09
D/A
$3,990,493.00
Yes
$0.00
No
2023-03-08
D/A
$3,192,850.00
Yes
$0.00
No
2023-01-13
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-12-29
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-12-08
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-11-16
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-10-27
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-10-13
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-10-03
D/A
$3,975,027.00
Yes
$0.00
No
2022-10-03
D/A
$3,975,027.00
Yes
$0.00
No
2022-09-22
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-09-02
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-07-21
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-07-07
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-06-23
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-06-09
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-05-27
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-05-19
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-05-05
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-04-21
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-04-07
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-03-24
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-03-11
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-02-25
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-02-09
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-02-02
D/A
$3,778,417.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-01-28
D/A
$1,607,421.00
No
$0.00
No
2022-01-21
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2022-01-19
D/A
$3,778,417.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-01-11
D/A
$3,778,417.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-01-05
D/A
$16,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-12-29
D/A
$3,975,027.00
Yes
$0.00
No
2021-12-22
D/A
$3,778,417.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-12-16
D/A
$3,778,417.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-12-16
D/A
$6,227,036.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-12-02
D/A
$3,778,417.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-12-02
D/A
$6,227,036.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-11-23
D/A
$6,227,036.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-11-19
D/A
$6,227,036.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-11-09
D/A
$6,227,036.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-04-22
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-16
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-08
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-01
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-01
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-19
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-11
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-11
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-05
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-26
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-02-11
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-29
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-22
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-15
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-01-08
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-12-30
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2020-12-23
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.