Entoro Securities definition

Entoro Securities. Means Entoro Securities, LLC, the broker-dealer (CRD#35192)
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Examples of Entoro Securities in a sentence

  • The Manager may extend this offering in its sole discretion.We have engaged Entoro Securities, LLC (“Entoro”), a broker-dealer registered with the SEC and a member of FINRA and SIPC, as the dealer manager.

  • Entoro Securities works on a Best Efforts Basis Background checks are required (FINRA/SEC) Securities marketing can only be conducted when the proper due diligence and marketing materials have been completed with Disclosures and Disclaimers Advance on expenses due on execution of this Agreement.

  • Entoro Securities works on a Best Efforts Basis Background checks are required (FINRA/SEC) Client utilization of approved investor funnels is critical; failure to use approved funnels will result in additional fees & possibly termination.

  • Investor understands and acknowledges that Entoro Securities, LLC, a Delaware limited liability company (“Entoro”), is serving as the Company’s broker-dealer, and is providing compliance and administrative services to the Company for the offering of securities pursuant to Regulation A as described in the Offering Statement (the “Offering”).

  • Entoro Securities will work as Exclusive Placement Agent and Broker Dealer of Record for Base Commission, and reasonable efforts for additional compensation, to find subscribers for up to $75,000,000 worth of Shares, priced at $10.00 per Share, pursuant to an exempt offering in accordance with “Tier 2” of Regulation A (17 C.F.R. §230.251 et seq.) of the Securities Act of 1933, as amended (the "33 Act").

  • On February 26, 2021, Entoro Securities, LLC (the “Firm” or “Entoro”) filed a Membership Continuance Application (the “Application”) with FINRA.

  • The addresses of the parties hereto (until notice of a change thereof is served as provided in this Section 4.1) shall be as follows: To the Managing Broker Dealer: To the Company: Entoro Securities, LLC 000 X Xxxx X, XxXxxxx Asset Management, Inc Xxxxx 000 Xxxxxxx, Xxxxx 00000 Attn: Xxxxx Row 0000 Xxxxxxxxx Xxxx #100 000-000-0000 Dublin, OH 43017 xxxx@xxxxxx.xxx Attn: Xxxx Xxxxxxx 000-000-0000xxxx@xxxxxxx.xxx Enterprise Bank & Trust Attn: Specialized Deposit Services, Xxxxxx 0000 X.

  • Entoro Securities works on a Best Efforts Basis Background checks are required (FINRA/SEC) Securities marketing can only be conducted when the proper due diligence and marketing materials have been completed with Disclosures and Disclaimers Work fees are paid in advance, except where otherwise agreed in this Agreement Exhibit D – Expense Budgeting Expectations We look forward to working with you toward the successful conclusion of this engagement and developing a long-term relationship with the Issuer.

  • Xxx Xxxxxxxx: This Placement Agent Agreement (this “Agreement”) sets forth the terms under which Entoro Securities, LLC, a FINRA and SEC registered broker-dealer (“we” or “Placement Agent”), is being engaged to act as the exclusive and managing broker dealer for Zephyr Group, Inc.

  • The addresses of the parties hereto (until notice of a change thereof is served as provided in this Section 4.1) shall be as follows: To the Managing Broker Dealer: To the Company: Entoro Securities, LLC 333 W ReAlpha Asset Management, IncLoop N, Suite 333 6515 Longshore Loop #100Houston, Texas 77024 Dublin, OH 43017Attn: James Row Attn: Giri Devanur713-812-9700 917-543-5140jrow@entoro.com giri@realpha.comTo the Escrow Agent: Enterprise Bank & TrustAttn: Specialized Deposit Services, Escrow 1281 N.

Related to Entoro Securities

  • NIM Securities As defined in the tenth Recital to this Agreement.

  • ETP Securities means the Series of ETP Securities to which these Conditions relates or, as the context may require, any or all securities issued by the Issuer under the Programme.

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.

  • Lock-Up Securities has the meaning set out in Section 5(l).

  • BofA Securities means BofA Securities, Inc.

  • Xxxxx Fargo Securities means Xxxxx Fargo Securities, LLC.

  • Equity-linked Securities means any debt or equity securities that are convertible, exercisable or exchangeable for Class A Shares issued in a financing transaction in connection with a Business Combination, including but not limited to a private placement of equity or debt.

  • Series B Securities means the 11-1/2% Senior Notes due 2007, Series B, of the Company to be issued pursuant to this Indenture in exchange for the Series A Securities pursuant to the Registered Exchange Offer and the Registration Rights Agreement.

  • Corporation Securities means (i) shares of Common Stock, (ii) shares of Preferred Stock (other than preferred stock described in Section 1504(a)(4) of the Code), (iii) warrants, rights, or options (including options within the meaning of Treasury Regulation § 1.382-2T(h)(4)(v)) to purchase stock of the Corporation, and (iv) any other interest that would be treated as “stock” of the Corporation pursuant to Treasury Regulation § 1.382-2T(f)(18).

  • Series A Securities means the Company's Series A 9 3/8% Junior Subordinated Deferrable Interest Debentures due May 1, 2028 as authenticated and issued under this Indenture.

  • Placement Agent Warrants shall have the meaning set forth in the Subscription Agreement.

  • Investor Registrable Securities means (i) any Common Equity held (directly or indirectly) by an Investor or any of its Affiliates, and (ii) any equity securities of the Company or any Subsidiary issued or issuable with respect to the securities referred to in clause (i) above by way of dividend, distribution, split or combination of securities, or any recapitalization, merger, consolidation or other reorganization.

  • Liquid Securities means securities that are publicly traded on the New York Stock Exchange, the American Stock Exchange or the Nasdaq Stock Market and as to which the Company or any Restricted Subsidiary is not subject to any restrictions on sale or transfer (including any volume restrictions under Rule 144 under the Securities Act or any other restrictions imposed by the Securities Act) or as to which a registration statement under the Securities Act covering the resale thereof is in effect for as long as the securities are held; provided that securities meeting the foregoing requirements shall be treated as Liquid Securities from the date of receipt thereof until and only until the earlier of (a) the date on which such securities are sold or exchanged for cash or Cash Equivalents and (b) 180 days following the date of receipt of such securities. If such securities are not sold or exchanged for cash or Cash Equivalents within 180 days of receipt thereof, for purposes of determining whether the transaction pursuant to which the Company or a Restricted Subsidiary received the securities was in compliance with Section 4.11, such securities shall be deemed not to have been Liquid Securities at any time.

  • Capital Securities means undivided beneficial interests in the assets of the Trust which rank pari passu with Common Securities issued by the Trust; provided, however, that upon the occurrence and continuance of an Event of Default (as defined in the Declaration), the rights of holders of such Common Securities to payment in respect of distributions and payments upon liquidation, redemption and otherwise are subordinated to the rights of holders of such Capital Securities.

  • Original Securities means all Securities other than Exchange Securities.

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.

  • Purchaser Securities means the Purchaser Units, the Purchaser Common Stock, the Purchaser Preferred Stock and the Purchaser Warrants, collectively.

  • Other Registrable Securities means (i) any Common Equity held (directly or indirectly) by any Other Holders or any of their Affiliates, and (ii) any equity securities of the Company or any Subsidiary issued or issuable with respect to the securities referred to in clause (i) above by way of dividend, distribution, split or combination of securities, or any recapitalization, merger, consolidation or other reorganization.

  • Company Subsidiary Securities has the meaning set forth in Section 3.02(d).

  • Offeror’s Securities means Voting Shares Beneficially Owned by an Offeror on the date of the Offer to Acquire;

  • Key Holder Registrable Securities means (i) the shares of Common Stock held by the Key Holders, and (ii) any Common Stock issued as (or issuable upon the conversion or exercise of any warrant, right, or other security that is issued as) a dividend or other distribution with respect to, or in exchange for or in replacement of such shares.

  • Rule 144A Securities means Securities of a series designated pursuant to Section 2.01 as entitled to the benefits of Section 4.03(b).

  • Warburg Pincus CS", "CSAM", "Credit Suisse" or "Credit Suisse Warburg Pincus".

  • Securities as used herein does not include (i) securities of issuers that are affiliated with the Buyer or are part of the Buyer's Family of Investment Companies, (ii) securities issued or guaranteed by the U.S. or any instrumentality thereof, (iii) bank deposit notes and certificates of deposit, (iv) loan participations, (v) repurchase agreements, (vi) securities owned but subject to a repurchase agreement and (vii) currency, interest rate and commodity swaps.

  • Equity Preferred Securities means, with respect to any Person, any trust preferred securities or deferrable interest subordinated debt securities issued by such Person or other financing vehicle of such Person that (i) have an original maturity of at least twenty years, and (ii) require no repayments or prepayments and no mandatory redemptions or repurchases, in each case, prior to the first anniversary of the latest Maturity Date.

  • Escrowed Securities means the direct, noncallable obligations of the United States of America, as described in the Escrow Agreement.