Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SAGEPOINT FINANCIAL, INC.
133763
MICHAEL A. BRUGGEMANN
5500983
SAGEPOINT FINANCIAL INC.
133763
MICHAEL A. BRUGGEMANN
5500983
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-01-26
D/A
$2,458,122.00
Yes
$0.00
Yes
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2016-01-12
D/A
$1,785,416.00
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.
2015-11-24
D/A
$1,785,416.00
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.