Broker-Dealer Engagement Agreement Sample Contracts
Broker-Dealer Engagement Agreement – Reg A+ Tier 2Broker-Dealer Engagement Agreement • August 8th, 2025 • FirstVitals Inc. • Surgical & medical instruments & apparatus
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between FirstVitals Inc. (“Client”), a Delaware Corporation , and Andes Capital Group, an Illinois Limited Liability Company (“Andes”) a FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Andes agree to be bound by the terms of this Agreement, effective as of April 4, 2025 (the “Effective Date”):
Broker-Dealer Engagement Agreement – Reg A+ Tier 2Broker-Dealer Engagement Agreement • July 31st, 2025 • FirstVitals Inc. • Surgical & medical instruments & apparatus
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between FirstVitals Inc. (“Client”), a Delaware Corporation , and Andes Capital Group, an Illinois Limited Liability Company (“Andes”) a FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Andes agree to be bound by the terms of this Agreement, effective as of April 4, 2025 (the “Effective Date”):
Broker-Dealer Engagement Agreement - Reg A+ Tier 2Broker-Dealer Engagement Agreement • September 15th, 2026 • Tokenova Worldwide, Inc. • Finance services • Illinois
This agreement (together with the exhibits and schedules attached hereto, the "Agreement") is entered into by and between Tokenova Worldwide, lnc."Client"), a Nevada (state and form of organization), and Andes Capital Group, LLC, an Illinois limited liability company ("Andes"), a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of FINRA, SIPC, and MSRB, with its principal office at 205 W. Wacker Drive, Suite 610, Chicago, IL 60606. Client and Andes (each a "Party" and collectively the "Parties") agree to be bound by the terms of this Agreement, effective as of April 5, 2026 (the "Effective Date"):
BROKER-DEALER ENGAGEMENT AGREEMENTBroker-Dealer Engagement Agreement • June 15th, 2026 • Agentiq Sports 1 Series LLC • Services-amusement & recreation services
This agreement (together with exhibits and schedules, the Agreement) is entered into by and between Agentiq Sports 1 Series LLC, a Delaware Series LLC (Client), and Andes Capital Group, LLC, an Illinois Limited Liability Company (Andes) a FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Andes agree to be bound by the terms of this Agreement, effective as of January 19, 2026 (the Effective Date):
Broker-Dealer Engagement Agreement - Reg A+ Tier 2 Amended and restated as of October 25, 2024Broker-Dealer Engagement Agreement • August 19th, 2025 • Commune Omni Fund, LLC • Real estate investment trusts
This Broker-Dealer Engagement Agreement (together with exhibits and schedules, this "Agreement") is entered into by and between Commune Omni Fund, LLC ("Client"), a Delaware Limited Liability Company, and Andes Capital Group, an Illinois Limited Liability Company ("Andes"), a FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Andes agree to be bound by the terms of this Agreement, effective as of October 25. 2024 (the "Effective Date"):
Broker-Dealer Engagement Agreement – Reg A+ Tier 2Broker-Dealer Engagement Agreement • August 13th, 2026 • XChange Ventures, LLC • Investors, nec
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between XChange Ventures, LLC (“Client”), a Delaware series limited liability company, and Andes Capital Group LLC, an Illinois limited liability company (“Andes”) a FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Andes agree to be bound by the terms of this Agreement, effective as of July 21, 2026 (the “Effective Date”):
Broker-Dealer Engagement Agreement – Reg A+ Tier 2Broker-Dealer Engagement Agreement • April 4th, 2025 • FirstVitals Inc.
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between FirstVitals Inc. (“Client”), a_______________, and Andes Capital Group, an Illinois Limited Liability Company (“Andes”) a FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Andes agree to be bound by the terms of this Agreement, effective as of January 6, 2025 (the “Effective Date”):
Broker-Dealer Engagement Agreement – Reg A+ Tier 2Broker-Dealer Engagement Agreement • February 23rd, 2022 • Lady Loans, INC. • New York
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Lady Loans Inc. (“Client”), a Delaware corporation, and Rialto Markets LLC., a Delaware Limited Liability Company (“Rialto”) and FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Rialto agree to be bound by the terms of this Agreement, effective as of November 10, 2021 (the “Effective Date”):
Broker-Dealer Engagement Agreement – Reg A+ Tier 2Broker-Dealer Engagement Agreement • February 21st, 2025 • Stock-Wars LLC • Services-miscellaneous amusement & recreation
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and between Stock-Wars LLC (“Client”), a Nevada limited liability company, and Andes Capital Group, an Illinois Limited Liability Company (“Andes”) a FINRA registered Broker Dealer in all 50 states and Puerto Rico. Client and Andes agree to be bound by the terms of this Agreement, effective as of January 22, 2025 (the “Effective Date”):