Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAROLINA FINANCIAL SECURITIES, LLC
41970
GEORGE GRIMES
717827
Companies
Company Name
MOSAIC DISTRIBUTORS, LLC
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-03-04
D/A
$93,000.00
Yes
$0.00
No
5% SALES COMMISSION ON AMOUNTS RAISED. $93,000 EARNED TO DATE.
2014-06-20
D/A
$77,500.00
Yes
$0.00
No
5% SALES COMMISSION ON AMOUNTS RAISED. $63,250 EARNED TO DATE.
2013-09-24
D
$60,000.00
Yes
$0.00
No
5% SALES COMMISSION ON AMOUNTS RAISED. $46,125 EARNED TO DATE.