Broker Dealer Services Agreement Sample Contracts
Engagement Agreement For Broker-Dealer ServicesBroker-Dealer Services Agreement • May 18th, 2023 • Cloudastructure, Inc. • Services-computer programming, data processing, etc. • New York
This Broker-Dealer Service Agreement (“Agreement”) is made and entered into as of May 1, 2023 by and between JumpStart Securities, LLC (“Jumpstart”, “us, “our”, or “we”) and Cloudastructure, a Delaware corporation (“Issuer”, “you” or “your”).
BROKER-DEALER SERVICES AGREEMENT WITH CUTTONE & CO., LLCBroker-Dealer Services Agreement • October 29th, 2019 • Brewdog Usa Inc. • Malt beverages • New York
This Broker-Dealer Selling Agreement (this “Agreement”) is made and entered into as of June 10, 2019 by and between Cuttone & Co., LLC, with its principal place of business at 11 Wall St., New York, NY 10005 (“Cuttone”, “us, “our”, or “we”) and BrewDog USA, Inc. with its principal place of business at 96 Gender Road, Canal Winchester, OH 43110 (“Issuer” “you” or “your”) (Cuttone and Issuer being referred to individually as a “Party“ and collectively as “Parties“ herein).
BROKER-DEALER SERVICES AGREEMENTBroker-Dealer Services Agreement • July 8th, 2016 • iConsumer Corp. • Services-personal services • New York
This Broker-Dealer Services Agreement (“Agreement”) is made and entered into as of _________ by and between FundAmerica Securities, LLC, a Delaware limited liability company (“FundAmerica”, “us, “our”, or “we”), and iConsumer Corp. ( “Issuer”, “you” or “your”) (collectively, the “Parties”).
BROKER-DEALER SERVICES AGREEMENT WITH IQ CAPITAL (USA) LLCBroker-Dealer Services Agreement • March 30th, 2020 • Evolution Development Group, Inc. • Services-management consulting services • New York
This Broker-Dealer Selling Agreement (this “Agreement”) is made and entered into as of March 11, 2020 by and between iQ Capital (USA) LLC, with its principal place of business at 708 3RD Avenue, 6th Floor, New York, NY 10017 (“iQ”, “us“, “our”, or “we”) and Evolution Development Group, Inc. with its principal place of business at 10949 Esteban Drive , Ft. Myers, FL 33912, (“Issuer”, “you” or “your”) (iQ and Issuer being referred to individually as a “Party“ and collectively as “Parties“ herein).
Amendment to Broker Dealer Services AgreementBroker Dealer Services Agreement • April 8th, 2020 • Commonwealth Thoroughbreds LLC • Services-racing, including track operation • Delaware
This Amendment to Broker Dealer Services Agreement (this “Amendment”), dated as of March 30, 2020 (the “Amendment Date”), is by and between Commonwealth Thoroughbreds, LLC (“Company”) and North Capital Private Securities Corporation (“NCPS”). Capitalized terms used herein and not otherwise defined shall have the meanings as set forth in the Agreement (as defined below).
BROKER-DEALER SERVICES AGREEMENT WITH NORTH CAPITAL PRIVATE SECURITIES CORPORATIONBroker-Dealer Services Agreement • April 26th, 2019 • HCo Cape May LLC • Hotels & motels
NCPS is not, and in its agreements with the Dealers NCPS will require that the Dealers agree that they are not, authorized or permitted to give, and will not give, and, any information or make any representation (written or oral) concerning the Shares except as set forth in the Offering Circular as amended and supplemented or in the Authorized Sales Materials. NCPS agrees, and in its agreements with the Dealers will require that the Dealers agree, that the Offering Circular as amended and supplemented will be available to each investor to whom an offer is made prior to or simultaneously with the first solicitation of an offer to sell the Shares to an investor.
EX-10.1 10 dex101.htm BROKER-DEALER SERVICES AGREEMENT BROKER-DEALER SERVICES AGREEMENT between TABERNA SECURITIES, LLC and COHEN BROS. & COMPANY, LLC Dated as of April 28, 2005 Page BROKER-DEALER SERVICES AGREEMENTBroker-Dealer Services Agreement • May 5th, 2020 • New York
This BROKER-DEALER SERVICES AGREEMENT (this “Agreement”), dated as of April 28, 2005, is entered into by and between COHEN BROS. & COMPANY, LLC, a Delaware limited liability company (“Cohen Bros.”), and TABERNA SECURITIES, LLC, a Delaware limited liability company (“Taberna Securities”).
BROKER-DEALER SERVICES AGREEMENT WITH DALMORE GROUP, LLCBroker-Dealer Services Agreement • December 8th, 2020 • Wiley Area Development LLC • Retail-eating & drinking places • New York
This Broker-Dealer Selling Agreement (this "Agreement") is made and entered into as of April 27, 2020 by and between Dalmore Group LLC, with its principal place of business at 525 Green Place, Woodmere, NY 11598 ("Dalmore" or "we" or "our" or the "Broker-Dealer") and Wiley Area Development LLC d/b/a Tasty Equity with its principal place of business at 572 Breckenridge Way, Beavercreek, OH 45430 ("Issuer", "you" or "your") (Dalmore and Wiley Area Development LLC D/B/A Tasty Equity being referred to individually as a "Party" and collectively, Dalmore and Wiley Area Development LLC D/B/A Tasty Equity referred to as "Parties" herein).
Broker Dealer Services AgreementBroker Dealer Services Agreement • March 13th, 2020 • Collectable Sports Assets, LLC • Utah
This Broker Dealer Services Agreement (this “Agreement”), effective as of 11/19/2019 (“Effective Date”), is entered into by Collectable.com, a Deleware (“Company”), and North Capital Private Securities Corporation, a Delaware corporation (“NCPS”, together with Company, the “Parties”, and each, a “Party”).
BROKER-DEALER SERVICES AGREEMENT WITH CULTIVATE CAPITAL GROUP LLCBroker-Dealer Services Agreement • April 17th, 2023 • Armed Forces Brewing Company, Inc. • Malt beverages
BROKER-DEALER SERVICES AGREEMENT WITH DALMORE GROUP, LLCBroker-Dealer Services Agreement • June 8th, 2020 • Evolution Development Group, Inc. • Services-management consulting services • New York
This Broker-Dealer Selling Agreement (this “Agreement”) is made and entered into as of April 27, 2020 by and between Dalmore Group LLC, with its principal place of business at 525 Green Place, Woodmere, NY 11598 ("Dalmore," “us“, “our”, or “we”) and Evolution Development Group, Inc. with its principal place of business at 10949 Esteban Drive , Ft. Myers, FL 33912, (“Issuer”, “you” or “your”) (Dalmore and Issuer being referred to individually as a “Party“ and collectively as “Parties“ herein).
Amendment to Broker Dealer Services AgreementBroker Dealer Services Agreement • March 3rd, 2020 • Commonwealth Thoroughbreds LLC • Services-racing, including track operation • Delaware
This Amendment to Broker Dealer Services Agreement (this “Amendment”), dated as of February 27, 2020 (the “Amendment Date”), is by and between Commonwealth Thoroughbreds, LLC (“Company”) and North Capital Private Securities Corporation (“NCPS”). Capitalized terms used herein and not otherwise defined shall have the meanings as set forth in the Agreement (as defined below).
BROKER-DEALER SERVICES AGREEMENT WITH CUTTONE AND CO., LLC AND IQ CAPITAL (USA) LLCBroker-Dealer Services Agreement • November 27th, 2019 • Wiley Area Development LLC • Retail-eating & drinking places
Broker Dealer Services AgreementBroker Dealer Services Agreement • December 13th, 2019 • Commonwealth Thoroughbreds LLC • Services-racing, including track operation • Delaware
This Broker Dealer Services Agreement (this “Agreement”), effective as of December 10, 2019 (“Effective Date”), is entered into by Commonwealth Thoroughbreds LLC, a Delaware limited liability company (“Company”), and North Capital Private Securities Corporation, a Delaware corporation (“NCPS”, together with Company, the “Parties”, and each, a “Party”). Effective as of the Effective Date this Agreement amends and restates in its entirety that certain Solicitation Agreement – Private Debt, Equity, and Hybrid Securities, dated as of August 22, 2019 and amended as of September 4, 2019, by and between the Parties (the “Prior Agreement”).
BROKER-DEALER SERVICES AGREEMENT WITH CUTTONE AND CO., LLCBroker-Dealer Services Agreement • August 27th, 2019 • Wiley Area Development LLC • Retail-eating & drinking places
ADDENDUM TO BROKER-DEALER SERVICES AGREEMENT WITH CUTTONE & CO., LLCBroker-Dealer Services Agreement • October 29th, 2019 • Brewdog Usa Inc. • Malt beverages
This Addendum (“Addendum”) to the Broker-Dealer Selling Agreement (“Agreement”) is made and entered into as of October 25, 2019 by and between Cuttone & Co., LLC, with its principal place of business at 11 Wall St., New York, NY 10005 (“Cuttone”), IQ Capital (US) LLC 708 3rd Avenue, 6th Floor, New York, NY 10017 (“IQ”) and BrewDog USA, Inc. (“Issuer”) with its principal place of business at 96 Gender Road, Canal Winchester, OH 43110 (Cuttone, IQ and Issuer each being referred to individually as a “Party“ and collectively or two or more as “Parties“ herein). For good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged by all Parties, all Parties agree as follows:
BROKER-DEALER SERVICES AGREEMENT WITH DALMORE GROUP LLC AND COMMISSION SHARING AGREEMENT WITH STARTENGINE PRIMARYBroker-Dealer Services Agreement • July 30th, 2020 • Brewdog Usa Inc. • Malt beverages • New York
BROKER-DEALER SERVICES AGREEMENTBroker-Dealer Services Agreement • July 25th, 2018 • XTI Aircraft Co • Aircraft • New York
This Broker-Dealer Services Agreement (this “Agreement”) is made and entered into as of July 18, 2018 by and between JumpStart Securities, LLC (“JumpStart”, “us, “our”, or “we”) and XTI Aircraft Company (“Issuer”, “you” or “your”). JumpStart and Issuer are individually referred to herein as a “Party” collectively referred to as the “Parties”.
BROKER-DEALER SERVICES AGREEMENT WITH DALMORE GROUP, LLCBroker-Dealer Services Agreement • October 21st, 2021 • Golden Seed, Inc. • Agricultural production-crops
BROKER-DEALER SERVICES AGREEMENT This Broker-Dealer Service Agreement ("Agreement") is made and entered into as of March 21 , 2020 by and between JumpStart Securities, LLC ("Jumpstart", "us, "our", or "we") and Atlis Motor Vehicles ("Issuer", "you" or...Broker-Dealer Services Agreement • May 4th, 2020 • Atlis Motor Vehicles Inc • New York
Amendment to Broker Dealer Services AgreementBroker Dealer Services Agreement • May 8th, 2020 • Collectable Sports Assets, LLC • Retail-retail stores, nec • New York
This Amendment to Broker Dealer Services Agreement (this “Amendment”), dated as of April 27, 2020 (the “Amendment Date”), is entered into by and between Collectable Sports Assets, LLC (“Company”) and North Capital Private Securities Corporation (“NCPS”). Capitalized terms used herein and not otherwise defined shall have the meanings as set forth in the Existing Agreement (as defined below).
TEMPLUM MARKETS LLC BROKER-DEALER SERVICES AGREEMENTBroker-Dealer Services Agreement • January 21st, 2021 • Landa App LLC • Real estate • New York
The Broker-Dealer Services Agreement (“Agreement”) is made and entered into as of November 13, 2020 (the “Effective Date”), by and between Templum Markets LLC, a Delaware limited liability company (“Templum”) and Landa App LLC, a Delaware series limited liability company (“Company”), and each of the series (each, a “Series” and collectively, the “Series”) registered under the Company, as set forth in the signature page hereto. Each of the Company, the Series, and Templum may be referred to herein as a “Party” and, collectively, the “Parties.” Each of the Company and the Series, including any additional Series that become party to this Agreement, shall collectively be referred to as the “Landa Entities.”
SECTION 1A-1 BROKER-DEALER SERVICES AGREEMENT WITH CULTIVATE CAPITAL GROUPBroker-Dealer Services Agreement • September 9th, 2025 • Buffalo Chip Global Inc. • Hotels & motels
This agreement (together with exhibits and schedules, the “Agreement”) is entered into by and Buffalo Chip Global Inc. (“Client”) and Cultivate Capital Group LLC, a Delaware Limited Liability Company (“Cultivate”). Client and Cultivate may each be referred to as a “Party” or collectively as the “Parties” herein and agree to be bound by the terms of this Agreement as of
BROKER-DEALER SERVICES AGREEMENT This Broker-Dealer Service Agreement ("Agreement") is made and entered into as of March 21 , 2020 by and between JumpStart Securities, LLC ("Jumpstart", "us, "our", or "we") and Atlis Motor Vehicles ("Issuer", "you" or...Broker-Dealer Services Agreement • May 11th, 2020 • Atlis Motor Vehicles Inc • Truck & bus bodies • New York
BROKER-DEALER SERVICES AGREEMENTBroker-Dealer Services Agreement • November 30th, 2015 • Sun Dental Holdings, LLC • Dental equipment & supplies • New York
This Agreement (“Agreement”) is made and entered into as of October 30, 2015 by and between FundAmerica Securities, LLC, a Delaware limited liability company (“FundAmerica”, “us, “our”, or “we”), and Sun Dental Holdings, LLC (“Issuer”, “you” or “your”).
BROKER DEALER SERVICES AGREEMENTBroker Dealer Services Agreement • September 12th, 2022 • Every Assets I, LLC • Delaware
This Broker Dealer Services Agreement (this “Agreement”), effective as of _______, 2022 (“Effective Date”), is entered into by Every Assets I, LLC, a Delaware limited liability company (“Company”), and Every Markets, LLC, a Delaware limited liability company (“Broker”, together with Company, the “Parties”, and each, a “Party”).
BROKER-DEALER SERVICES AGREEMENT WITH CUTTONE AND CO., LLC AND IQ CAPITAL (USA) LLCBroker-Dealer Services Agreement • November 14th, 2019 • Wiley Area Development LLC • Retail-eating & drinking places
Exhibit IndexBroker-Dealer Services Agreement • March 12th, 2020 • Otis Collection LLC • Retail-retail stores, nec
BROKER-DEALER SERVICE AGREEMENT Broker-Dealer Services AgreementBroker-Dealer Services Agreement • December 21st, 2015 • Med-X, Inc. • Pharmaceutical preparations • New York
This Agreement ("Agreement") is made and entered into as of <date> by and between FundAmerica Securities, LLC, a Delaware limited liability company ("FundAmerica", "us, "our", or "we"), and Med-X, Inc. ("Issuer", "you" or "your").
SECTION 1R-1 BROKER-DEALER SERVICES AGREEMENT WITH CULTIVATE CAPITAL GROUPBroker-Dealer Services Agreement • September 8th, 2025 • Buffalo Chip Global Inc. • Hotels & motels
This agreement (together with exhibits and schedules, the “Afreement”) is entered into by and Buffalo Chip Global Inc. (“Client”) and Cultivate Capital Group LLC, a Delaware Limited Liability Company (“Cultivate”). Client and Cultivate may each be referred to as a “Party” or collectively as uhe “Parties” herein and agree to be bound by the terms of this Agreement as of
Amendment to Broker Dealer Services AgreementBroker Dealer Services Agreement • February 12th, 2020 • Otis Collection LLC • Retail-retail stores, nec • New York
This Amendment to Broker Dealer Services Agreement (this “Amendment”), dated as of February 11, 2020 (the “Amendment Date”), is entered into by and between Otis Collection, LLC (“Company”) and North Capital Private Securities Corporation (“NCPS”). Capitalized terms used herein and not otherwise defined shall have the meanings as set forth in the Agreement (as defined below).