Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

RESOURCE HORIZONS GROUP LLC
104368
CLARK H. WEEKS
5717984
DEMPSEY LORD SMITH
141238
CLARK WEEKS
5717984
DEMPSEY LORD SMITH, LLC
141238
CLARK WEEKS
5717984
DEMPSEY LORD SMITH, LLC
141238
CLARK HARRIS WEEKS
5717984
DEMPSEY LORD SMITH, LLC
141238
CLARK WEEKS
5717984
CLARK HARRIS WEEKS
5717984
INTERCAROLINA FINANCIAL SERVICES, INC.
19475
INTERCAROLINA
19475
CLARK WEEKS
5717984
INTERCAROLINA FINANCIAL SERVICES
19475
CLARK WEEKS
5717984
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-07-01
D/A
$1,993,598.00
Yes
$0.00
No
2026-06-18
D/A
$1,993,598.00
Yes
$0.00
No
2026-02-19
D/A
$953,701.00
Yes
$0.00
No
2026-01-09
D
$770,645.00
No
$0.00
No
REFERRAL FEE: $206,850.00; WHOLESALER FEE: $37,400.00; SALES COMMISSION: $198,480.00; MARKETING ALLOWANCE: $35,100.00; DILIGENCE FEE: $35,100.00; MANAGING BROKER DEALER FEE: $257,715.00
2023-11-17
D/A
$9,000,000.00
Yes
$0.00
No
2019-01-07
D/A
$324,288.00
Yes
$0.00
Yes
2018-10-11
D/A
$770,000.00
Yes
$0.00
Yes
2018-08-17
D/A
$770,000.00
Yes
$0.00
Yes
2018-07-26
D/A
$770,000.00
Yes
$0.00
Yes
2018-07-16
D/A
$770,000.00
Yes
$0.00
Yes
2018-01-03
D/A
$495,682.00
No
$0.00
No
2017-12-28
D/A
$1,100,000.00
Yes
$0.00
No
2017-06-09
D/A
$1,100,000.00
Yes
$0.00
No
2014-01-08
D
$151,506.00
Yes
$0.00
No
2014-01-08
D/A
$151,506.00
Yes
$0.00
No