Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

REGIMENT SECURITIES, LLC
311302
SAMUEL D. GOLD
6614812
FINALIS SECURITIES, LLC
305908
SAMUEL D. GOLD
6614812
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-03-13
D/A
$0.00
No
$22,436.00
No
2025-03-14
D/A
$0.00
No
$13,764.00
No
2024-03-15
D/A
$0.00
No
$0.00
No
2024-03-15
D/A
$0.00
No
$5,843.00
No
2024-01-18
D/A
$0.00
No
$0.00
No
2023-03-15
D/A
$0.00
No
$0.00
No
2023-03-15
D/A
$0.00
No
$0.00
No
2023-01-18
D/A
$0.00
No
$0.00
No