Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CATHERINE HICKS
5945027
CAROLINA FINANCIAL SECURITIES
41970
CAROLINA FINANCIAL SECURITIES, LLC
41970
CATHERINE HICKS
5945027
CAROLINA FINANCIAL SECURITIES, LLC
41970
CATHERINE HICKS
5945027
CAROLINA FINANCIAL SECURITIES, LLC
41970
CATHERINE HICKS
5945027
CAROLINA FINANCIAL SECURITIES, LLC
41970
CATHERINE L. HICKS
5945027
CAROLINA FINANCIAL SECURITIES, LLC
41970
CATHERINE HICKS
5945027
CAROLINA FINANCIAL SECURITIES, LLC
41970
CATHERINE HICKS
5945027
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-03-02
D/A
$427,920.00
Yes
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED.
2016-05-31
D
$82,000.00
No
$0.00
No
4% OF CAPITAL RAISED TO DATE
2016-05-31
D
$82,000.00
No
$0.00
No
4% OF CAPITAL RAISED TO DATE
2016-04-06
D/A
$99,400.00
No
$0.00
No
7% OF NEW EQUITY FUNDS RAISED
2016-03-04
D/A
$314,520.00
Yes
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED.
2016-02-19
D/A
$120,000.00
No
$0.00
No
4% OF THE LOAN AMOUNT, LESS $12,000 WILL BE PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC
2015-10-27
D/A
$39,750.00
No
$0.00
No
3% OF THE GROSS LOAN AMOUNTS
2015-09-04
D
$200,000.00
No
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED
2015-07-09
D/A
$187,740.00
No
$0.00
No
4% OF THE GROSS LOAN AMOUNTS WILL BE PAID UPON FUNDING OF EACH TRANCHE
2015-03-05
D/A
$280,000.00
Yes
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED, AND THE OFFERING IS BEING SOLD ON A BEST EFFORTS BASIS. SO THE TOTAL POSSIBLE COMMISSION IS $280,000 BUT COULD END UP BEING LESS IF THE OFFERINGS ISN-T FULLY SUBSCRIBED.
2015-03-04
D/A
$93,000.00
Yes
$0.00
No
5% SALES COMMISSION ON AMOUNTS RAISED. $93,000 EARNED TO DATE.
2014-10-31
D
$2,220.00
No
$0.00
No
3% OF THE GROSS LOAN AMOUNTS
2014-08-25
D
$12,187.00
No
$0.00
No
2.5% OF AMOUNTS RAISED
2014-06-20
D/A
$77,500.00
Yes
$0.00
No
5% SALES COMMISSION ON AMOUNTS RAISED. $63,250 EARNED TO DATE.
2014-05-22
D
$32,000.00
No
$0.00
No
$32,000 OF THE OFFERING AMOUNT IS BEING RETAINED BY ISSUER TO PAY THE PLACEMENT FEE (4% OF FUNDS RAISED) FOR ARRANGING THE FINANCING.
2014-05-22
D
$99,000.00
No
$0.00
No
4% OF THE LOAN AMOUNT, LESS $12,000 WILL BE PAID BY THE BORROWER AS A PLACEMENT FEE TO CAROLINA FINANCIAL SECURITIES, LLC
2014-02-28
D
$98,000.00
No
$0.00
No
$98,000 OF THE OFFERING AMOUNT IS BEING RETAINED BY THE ISSUER TO PAY THE PLACEMENT FEE (4% OF FUNDS RAISED) FOR ARRANGING THE FINANCING
2014-01-06
D/A
$1,000,000.00
Yes
$0.00
No
COMMISSIONS YET TO BE EARNED AND AMOUNT DEPENDS ON AMOUNT SOLD BY EACH BROKER THROUGHOUT THE PLACEMENT.
2013-11-15
D/A
$1,000,000.00
Yes
$0.00
No
COMMISSIONS YET TO BE EARNED AND AMOUNT DEPENDS ON AMOUNT SOLD BY EACH BROKER THROUGHOUT THE PLACEMENT.
2013-09-24
D
$60,000.00
Yes
$0.00
No
5% SALES COMMISSION ON AMOUNTS RAISED. $46,125 EARNED TO DATE.
2013-09-06
D/A
$1,000,000.00
Yes
$0.00
No
COMMISSIONS YET TO BE EARNED AND AMOUNT DEPENDS ON AMOUNT SOLD BY EACH BROKER THROUGHOUT THE PLACEMENT.
2013-08-29
D
$0.00
No
$0.00
No
THIS IS A PASS THROUGH ENTITY THAT WON-T PAY FEES FOR AMOUNTS RAISED. FUNDS WILL BE AGGREGATED AND AN INVESTMENT MADE IN CALAYST RESOURCES, LLC. CATALYST RESOURCES, LLC WILL PAY THE SALES COMMISSION AND WILL FILE A SEPARATE FORM D THAT WILL REFLECT FEES
2013-08-23
D
$160,000.00
Yes
$0.00
No
COMMISSION IS 4% OF FUNDS RAISED, AND THE OFFERING IS BEING SOLD ON A BEST EFFORTS BASIS. SO THE TOTAL POSSIBLE COMMISSION IS $160,000 BUT COULD END UP BEING LESS IF THE OFFERINGS ISN-T FULLY SUBSCRIBED.
2013-02-25
D
$120,000.00
No
$0.00
No
$120,000 OF COMMISSION FOR THE FULL $3,000,000 RAISED. $21,000 FOR AMOUNTS TO DATE.
2012-11-29
D/A
$296,460.00
Yes
$0.00
No
SCOTT RICKARD IS NOT RECEIVING ANY SALES COMMISSIONS. THE SALES COMMISSIONS ASSOCIATED WITH HIS SALES ARE BEING PAID TO CAROLINA FINANCIAL SECURITIES.
2012-06-29
D
$360,000.00
Yes
$0.00
No
THE SALES COMMISSION IS 3% OF FUNDS RAISED. $18,450 HAS BEEN PAID OUT ON THE $615,000 RAISED TO DATE. THE MAXIMUM $12MM OFFERING AMOUNT IS BEING SOLD ON A BEST EFFORTS BASIS, SO THE GROSS SALES COMMISSION WILL BE DETERMINED BY THE ACTUAL AMOUNT SOLD.
2012-05-16
D/A
$212,000.00
Yes
$0.00
No
2012-04-25
D
$150,000.00
No
$0.00
No
THE SALES COMMISSION AND FINDER-S FEES FIGURES REPRESENT THE MAXIMUM AMOUNT EXPECTED TO BE PAID BY THE END OF THE OFFERING. AT THE TIME OF THIS FILING, $38,500 HAS BEEN PAID IN TOTAL.