Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CHARLES BACON
6681081
SEQUENCE FINANCIAL SPECIALISTS LLC
132915
CHARLES RICHARD BACON
6681081
SEQUENCE FINANCIAL SPECIALISTS, LLC
132915
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-02-11
D/A
$1,182,415.00
No
$0.00
No
SALES COMMISSIONS: $614,968; BROKER DEALER DUE DILIGENCE FEES: $153,497; MANAGING BROKER FEE: $335,120; MANAGING BROKER MARKETING FEES: $78,830
2021-01-12
D
$1,182,415.00
No
$0.00
No
SALES COMMISSIONS: $614,968; BROKER DEALER DUE DILIGENCE FEES: $153,497; MANAGING BROKER FEE: $335,120; MANAGING BROKER MARKETING FEES: $78,830
2021-01-11
D
$778,158.00
No
$0.00
No
SALES COMMISSIONS: $443,324; BROKER DEALER DUE DILIGENCE FEES: $99,570; MANAGING BROKER FEE: $202,264; MANAGING BROKER MARKETING FEES: $33,000
2020-01-09
D
$1,395,865.00
No
$0.00
No
$337,410 MANAGING BROKER AND MARKETING FEES PAID TO SEQUENCE FINANCIAL SPECIALISTS; COMMISSIONS: $963,307 -SEQUENCE FINANCIAL SPECIALISTS; $51,038 -KALOS CAPITAL; $12,210 -KOVACK SECURITIES; $6,600 -PATRICK CAPITAL MARKETS; $25,300 -G.A. REPPLE + CO.