Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ARI FINANCIAL SERVICES INC
137608
JOEY D MILLER
6175826
ARI FINANCIAL SERVICES, INC.
137608
JOEY D. MILLER
6175826
ARETE WEALTH MANAGMENT
44856
JOEY MILLER
6175826
JOEY MILLER
6175826
ARETE WEALTH MANAGEMENT LLC
44856
ARI FINANCIAL SERVICES, INC.
137608
JOEY D. MILLER
6175826
JOEY MILLER
6175826
ARETE WEALTH MANAGEMENT LLC
44856
ARETE WEALTH MANAGEMENT, LLC
44856
JOEY MILLER
6175826
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-11-30
D/A
$27,000,000.00
Yes
$0.00
No
ESTIMATE ASSUMES ALL SECURITIES SOLD IN OFFERING. ACTUAL FEES WILL BE BASED ON SECURITIES ACTUALLY SOLD. ACTUAL FEES PAID TO DATE - $5,188,234.64.
2016-02-12
D/A
$1,425,000.00
Yes
$0.00
No
2014-12-15
D/A
$65,400.00
Yes
$0.00
No
2014-07-01
D/A
$218,604.00
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.
2014-06-13
D/A
$62,400.00
Yes
$0.00
No
2014-06-12
D/A
$62,400.00
Yes
$0.00
No
2014-05-13
D/A
$53,400.00
Yes
$0.00
No
2014-04-08
D/A
$48,600.00
Yes
$0.00
No
2014-04-03
D/A
$36,900.00
Yes
$0.00
No
2014-03-24
D/A
$36,900.00
Yes
$0.00
No
2014-03-10
D/A
$24,300.00
Yes
$0.00
No
2014-02-20
D/A
$60,000.00
No
$0.00
No
2013-09-23
D/A
$358,800.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDING DUE DILIGENCE FEE
2013-09-17
D
$107,500.00
Yes
$0.00
No
2013-09-10
D/A
$323,200.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDING DUE DILIGENCE FEE
2013-08-13
D/A
$309,600.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDING DUE DILIGENCE FEE
2013-07-30
D/A
$282,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDING DUE DILIGENCE FEE