Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CROWN CAPITAL SECURITIES, L.P.
6312
STEPHEN M. WHYTE
5941423
CROWN CAPITAL SECURITIES LP
6312
STEVE WHYTE
5941423
CROWN CAPITAL SECURITIES, L.P.
6312
STEPHEN MICHAEL WHYTE
5941423
CROWN CAPITAL SECURITIES, L.P.
6312
STEVE WHYTE
5941423
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-04-23
D/A
$2,723,400.00
Yes
$0.00
No
2020-04-20
D/A
$3,134,687.00
Yes
$0.00
No
2016-12-22
D/A
$3,614,379.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2015-09-29
D/A
$2,959,329.00
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.