Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PACIFIC WEST SECURITIES
6390
RICHARD J. ZAEGEL
851991
CETERA ADVISORS LLC
10299
RICHARD J. ZAEGEL
851991
CETERA ADVISORS LLC
10299
RICHARD J. ZAEGAL
851991
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-08-11
D/A
$6,004,844.00
Yes
$0.00
No
2017-01-18
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-28
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-13
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-01
D/A
$6,004,844.00
Yes
$0.00
No
2016-11-17
D/A
$6,004,844.00
Yes
$0.00
No
2016-11-10
D/A
$6,004,844.00
Yes
$0.00
No
2015-02-13
D/A
$574,255.00
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.
2014-12-01
D/A
$574,255.00
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.
2014-11-17
D/A
$574,255.00
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.
2013-01-28
D/A
$2,625,000.00
Yes
$0.00
No
2012-01-27
D/A
$2,625,000.00
Yes
$0.00
No
2012-01-25
D/A
$2,625,000.00
Yes
$0.00
No
2012-01-04
D/A
$2,625,000.00
Yes
$0.00
No
2011-10-07
D/A
$2,625,000.00
Yes
$0.00
No
2011-06-08
D/A
$2,625,000.00
Yes
$0.00
No
2011-05-17
D/A
$2,625,000.00
Yes
$0.00
No
2011-05-03
D/A
$2,625,000.00
Yes
$0.00
No
2011-04-12
D/A
$2,625,000.00
Yes
$0.00
No
2011-03-23
D/A
$2,625,000.00
Yes
$0.00
No
2011-01-21
D/A
$2,625,000.00
Yes
$0.00
No
2010-11-17
D/A
$2,625,000.00
Yes
$0.00
No
2010-09-28
D/A
$2,625,000.00
Yes
$0.00
No
2010-09-03
D/A
$2,625,000.00
Yes
$0.00
No
2010-08-24
D/A
$2,625,000.00
Yes
$0.00
No