Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

R.M. DUNCAN SECURITIES, INC.
14344
KEVIN WAYNE DUNCAN
6336817
R.M. DUNCAN SECURITIES, INC.
14344
KEVIN W. DUNCAN
6336817
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-02-04
D
$500,000.00
Yes
$0.00
No
COMMISSIONS WILL EQUAL UP TO 10.0% OF THE GROSS AMOUNT OF 2020 NOTES PROCEEDS RAISED BY A BROKER DEALER.
2019-05-28
D/A
$487,500.00
Yes
$0.00
No
R.M. DUNCAN SECURITIES, INC. WILL RECEIVE A 10% COMMISSION ON THE OFFERING PROCEEDS. ANY FEES TO OTHER PARTICIPATING BROKER-DEALERS WILL BE PAID OUT OF SUCH COMMISSION.
2019-04-09
D
$303,000.00
Yes
$0.00
No
R.M. DUNCAN SECURITIES, INC. WILL RECEIVE A 10% COMMISSION ON THE OFFERING PROCEEDS. ANY FEES TO OTHER PARTICIPATING BROKER-DEALERS WILL BE PAID OUT OF SUCH COMMISSION.
2017-09-06
D
$407,000.00
No
$0.00
No
RM DUNCAN SECURITIES INC. WILL RECEIVE A 10% COMMISSION ON THE SALE OF DEBT BEING OFFERED, WHICH COMMISSIONS MAY BE REDUCED BY AMOUNTS PAID BY THE ISSUER TO RM DUNCAN CAPITAL MANAGEMENT CORP FOR ITS SERVICES AS INVESTMENT MANAGER DURING 2017