Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SIGMA FINANCIAL CORPORATION
14303
TROY A. OATES
6061425
SIGMA FINANCIAL CORPORATION
14303
TROY A. OATES
6061425
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-07-17
D/A
$4,467,881.00
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.
2016-10-11
D/A
$4,467,881.00
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.
2016-09-16
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-08-19
D/A
$4,467,881.00
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.
2016-06-21
D/A
$4,467,881.00
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.
2016-06-09
D/A
$4,467,881.00
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.
2016-05-20
D/A
$4,467,881.00
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.
2016-04-28
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-04-13
D/A
$4,467,881.00
Yes
$0.00
No
2016-04-01
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-03-23
D/A
$4,467,881.00
Yes
$0.00
No
2016-03-14
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-03-07
D/A
$4,467,881.00
Yes
$0.00
No
2016-03-02
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2016-02-17
D/A
$1,216,100.00
No
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.