Private Placement and Placement Agent Services for OTC and Public Issuers

Sample Harbor Securities

We provide private placement and placement agent services to OTC-quoted and exchange-listed public companies seeking to raise capital through private offerings. Our clients typically include growth-stage issuers, companies pursuing strategic initiatives, and management teams that want an experienced broker-dealer partner to help navigate the private capital markets. Our typical scope includes reviewing the issuer's capital needs and evaluating potential offering structures with the company and its legal and financial advisors. We coordinate due diligence, help prepare investor materials in collaboration with issuer counsel, and conduct investor outreach. All activities are carried out within the scope of the firm's registrations and approvals and are subject to applicable securities laws and regulatory requirements. Engagements generally begin with an introductory consultation to understand the issuer's objectives, timeline, and current disclosure profile. If there is a mutual fit, we outline proposed terms in a written engagement agreement covering scope, responsibilities, and compensation. Throughout the process, we work closely with management and outside advisors to keep the transaction organized and moving forward. Engagement terms and outcomes vary by transaction, and no particular result is assured.