SELLING AGREEMENTBroker Dealer • March 23rd, 2022 • Ares Private Markets Fund • Colorado
Contract Type FiledMarch 23rd, 2022 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and________________________________________, a _______________________________ company having its principal place of business ____________________________________________ (hereinafter “Broker/Dealer”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer • July 26th, 2023 • List Income Opportunities Fund • Colorado
Contract Type FiledJuly 26th, 2023 Company JurisdictionTHIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer • April 29th, 2016 • Wilmington Funds • Colorado
Contract Type FiledApril 29th, 2016 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
BROKER / DEALER SELLING AGREEMENTBroker / Dealer • April 14th, 2010 • Pruco Life of New Jersey Variable Appreciable Account • New Jersey
Contract Type FiledApril 14th, 2010 Company JurisdictionThis Broker-Dealer Selling Agreement (hereinafter “Agreement”) is made by and between PRUCO SECURITIES, LLC (hereinafter "Distributor"), The Prudential Insurance Company of America (hereinafter “Prudential”), Pruco Life Insurance Company (hereinafter “PLIC) and Pruco Life Insurance Company of New Jersey (hereinafter “PLNJ”), (hereinafter, the preceding three entities referred to collectively as the “Company”), and David A. Noyes & Company (hereinafter "Broker-Dealer"), and together with Broker-Dealer’s duly licensed affiliates set forth on the Schedule A, attached hereto and made a part hereof (hereinafter the “Affiliates”)
FORM OF BROKER DEALER SELLING AGREEMENTBroker Dealer • December 12th, 2016 • Goehring & Rozencwajg Investment Funds • Colorado
Contract Type FiledDecember 12th, 2016 Company Jurisdiction
BROKER DEALER SELLING AGREEMENTBroker Dealer • December 19th, 2018 • CC Real Estate Income Fund-T2 • Colorado
Contract Type FiledDecember 19th, 2018 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer • April 9th, 2019 • FS Multi-Alternative Income Fund • Colorado
Contract Type FiledApril 9th, 2019 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
EX-99.(E)(3) 6 d320490dex99e3.htm FORM OF BROKER DEALER SELLING AGREEMENT WITH ALPS DISTRIBUTORS, INC. Exhibit (e)(3) BROKER DEALER SELLING AGREEMENTBroker Dealer • May 5th, 2020 • Colorado
Contract Type FiledMay 5th, 2020 JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
BROKER DEALER MARKETING AND SERVICING AGREEMENT FOR VARIABLE ANNUITY CONTRACTSBroker Dealer • July 25th, 2013 • Principal Life Insurance Co Separate Account B • Iowa
Contract Type FiledJuly 25th, 2013 Company Jurisdiction
BROKER-DEALER SELLING AGREEMENTBroker-Dealer • January 30th, 2023 • Apollo Diversified Real Estate Fund • Colorado
Contract Type FiledJanuary 30th, 2023 Company JurisdictionTHIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
FORM OF BROKER DEALER SELLING AGREEMENTBroker Dealer • August 20th, 2009 • Financial Investors Trust • Colorado
Contract Type FiledAugust 20th, 2009 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
MARKETING AND SERVICING AGREEMENT FOR VARIABLE ANNUITY CONTRACTSBroker Dealer • April 28th, 2017 • Principal Life Insurance Co Separate Account B • Iowa
Contract Type FiledApril 28th, 2017 Company JurisdictionThis Broker Dealer Marketing and Servicing Agreement for Variable Annuity Contracts (the "Agreement") is effective this ______ day of ____________, 2013, by and among Principal Life Insurance Company ("Issuer") and Princor Financial Services Corporation ("Distributor"), on the one hand, and _______________________ its duly licensed insurance affiliates indicated on the signature page of this Agreement, if any, (collectively "Broker Dealer"), on the other hand. Distributor, Issuer and Broker Dealer are individually referred to as a "Party" and collectively as the "Parties"
BROKER DEALER SELLING AGREEMENTBroker Dealer • April 28th, 2022 • Heartland Group Inc • Colorado
Contract Type FiledApril 28th, 2022 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and ____________________________________, a _______________________ company having its principal place of business at __________________________________________________________ (hereinafter “Broker/Dealer”).
BROKER DEALER MARKETING AND SERVICING AGREEMENT FOR VARIABLE ANNUITY CONTRACTSBroker Dealer • March 30th, 2011 • Principal Life Insurance Co Separate Account B • Iowa
Contract Type FiledMarch 30th, 2011 Company Jurisdiction
BROKER / DEALER SELLING AGREEMENT between PRUCO SECURITIES CORPORATION andBroker / Dealer • July 6th, 2009 • Pruco Life Variable Universal Account • New Jersey
Contract Type FiledJuly 6th, 2009 Company JurisdictionThis Agreement is made on the 27th day of August, 1999 by and between PRINCOR FINANCIAL SERVICES ("Broker-Dealer"), a Broker-Dealer with its principal business address 711 High Street, N-4, Des Moines IA 50392-0200 and PRUCO SECURITIES CORPORATION ("Distributor"), a New Jersey corporation with its principal place of business at 751 Broad Street, Newark, New Jersey 07102 and supersedes all previous agreements entered into by the parties.
BROKER DEALER SELLING AGREEMENTBroker Dealer • April 30th, 2007 • Stewart W P & Co Growth Fund Inc • Colorado
Contract Type FiledApril 30th, 2007 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1625 Broadway, Suite 2200, Denver, Colorado 80202, and, __________________________________ a _________________________ company having its principal place of business at ____________________________________________________________ (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer • October 28th, 2016 • Meridian Fund Inc • Colorado
Contract Type FiledOctober 28th, 2016 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 , and , a company having its principal place of business (hereinafter “Broker/Dealer”).
BROKER-DEALER SELLING AGREEMENTBroker-Dealer • September 30th, 2021 • Brandes Investment Trust • Colorado
Contract Type FiledSeptember 30th, 2021 Company JurisdictionTHIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado 80203, and , a having its principal place of business at (hereinafter “Broker-Dealer”).
BROKER DEALER MARKETING AND SERVICING AGREEMENT FOR VARIABLE ANNUITY CONTRACTSBroker Dealer • May 2nd, 2013 • Principal Life Insurance Co Separate Account B • Iowa
Contract Type FiledMay 2nd, 2013 Company Jurisdiction
FORM OF BROKER-DEALER SELLING AGREEMENTBroker-Dealer • March 6th, 2020 • CIM Real Assets & Credit Fund • Colorado
Contract Type FiledMarch 6th, 2020 Company JurisdictionTHIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).
AMENDMENT TO BROKER/DEALER SERVICE AGREEMENTBroker/Dealer • February 9th, 2010 • Great West Life & Annuity Insurance Co
Contract Type FiledFebruary 9th, 2010 CompanyNOW THEREFORE, in consideration of the mutual benefits and promises contained herein, the parties hereby amend said Agreement as set forth below.
FORM OF BROKER DEALER SELLING AGREEMENTBroker Dealer • December 20th, 2016 • NorthStar Real Estate Capital Income Fund • Colorado
Contract Type FiledDecember 20th, 2016 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ company having its principal place of business ________________________________________________________ (hereinafter “Broker/Dealer”).
ASMG & ASMXBroker Dealer • August 18th, 2015 • StepOne Personal Health, Inc. • Services-computer processing & data preparation • California
Contract Type FiledAugust 18th, 2015 Company Industry JurisdictionThis agreement (the “Agreement”) is made as of August 15th, 2015, by and between StepOne Personal Health, Inc., 509 Sough Wall Avenue, Joplin, Missouri 64801 (“Company”) and Alternative Securities Market, LLC, a California Limited Liability Company organized under the State of California, with its principle place of business at 4050 Glencoe Avenue, Marina Del Rey, California 90292 (“Broker”).
BROKER DEALER SELLING AGREEMENTBroker Dealer • April 21st, 2008 • MTB Funds • Colorado
Contract Type FiledApril 21st, 2008 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
BROKER DEALER MARKETING AND SERVICING AGREEMENT FOR VARIABLE LIFE POLICIESBroker Dealer • August 2nd, 2019 • Principal National Life Insurance Co Variable Life Separate Account • Iowa
Contract Type FiledAugust 2nd, 2019 Company JurisdictionThis Broker Dealer Marketing and Servicing Agreement for Variable Life Policies (the “Agreement”) is effective this ______ day of ________________, 20__, by and among Principal Life Insurance Company (“Principal Life”) and Principal National Life Insurance Company (“Principal National”) (collectively “Insurer”) and Principal Securities, Inc.(“Distributor”), on the one hand, and ___________________ and its duly licensed insurance affiliates, if any, indicated on the signature page of this Agreement (collectively “Broker Dealer”), on the other hand. Distributor, Insurer and Broker Dealer are individually referred to as a “Party” and collectively, as the “Parties”
BROKER DEALER SELLING AGREEMENTBroker Dealer • September 23rd, 2015 • Clough Funds Trust • Colorado
Contract Type FiledSeptember 23rd, 2015 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Portfolio Solutions Distributor, Inc. (“APSD”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and _________, a _________ company having its principal place of business at ___________________ (hereinafter “Broker/Dealer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer • May 15th, 2013 • Financial Investors Trust • Colorado
Contract Type FiledMay 15th, 2013 Company JurisdictionTHIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of (hereinafter “Broker/Dealer”).
FORM OF BROKER-DEALER SELLING AGREEMENTBroker-Dealer • October 15th, 2020 • CION Ares Diversified Credit Fund • Colorado
Contract Type FiledOctober 15th, 2020 Company JurisdictionTHIS BROKER-DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“Distributor”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and ___________________________________, a _________________________ having its principal place of business at ________________________________________________________ (hereinafter “Broker-Dealer”).