REGULATORY

AGENTIS CAPITAL MARKETS US LLC

Agentis Capital Markets US LLC is a Delaware LLC. It is a broker-dealer registered with the US Securities and Exchange Commission (the “SEC”) and a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Investor Protection Corporation ("SIPC").

Agentis Capital Markets US LLC is also referred to as Agentis Capital Markets US.

Agentis Capital Markets US operates out of offices in Vancouver and Toronto, Canada.

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BROKERCHECK 

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FINRA's BrokerCheck is a free tool that shows the professional background of FINRA-registered firms and their registered representatives. You can view Agentis Capital Markets US's profile on FINRA BrokerCheck. You can also reach the FINRA BrokerCheck Hotline at (800) 289-9999. FINRA's website is www.finra.org, and an investor brochure describing BrokerCheck is available there.

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SIPC 

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Agentis Capital Markets US is a member of SIPC. SIPC protects customers of its member firms up to $500,000 (including $250,000 for claims for cash) if a member firm fails financially. SIPC does not protect against losses from a decline in the market value of securities. Agentis Capital Markets US does not hold customer funds or securities. You can get more information about SIPC, including the SIPC brochure, at www.sipc.org or by calling (202) 371-8300.

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AFFILIATED ENTITIES 

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Agentis Capital Markets US is affiliated with Agentis Capital and its related entities, including Agentis Capital Advisors Ltd., a municipal advisor registered with the SEC and the Municipal Securities Rulemaking Board (MSRB). Only Agentis Capital Markets US is a FINRA and SIPC member. Securities products and services are offered only through Agentis Capital Markets US. Services provided by affiliates are not covered by SIPC.

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BUSINESS CONTINUITY

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Click here for the Agentis Capital Markets US Business Continuity Plan disclosure.

CUSTOMER COMPLAINTS

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Under Exchange Act Rule 17a-3(a)(18)(ii), we provide this notice so that you have an address and telephone number for reporting a complaint. If you have a complaint for any reason, please contact our Chief Compliance Officer right away by phone at 985-630-5807, by email at compliance@agentiscapital.com, or by mail at:

Agentis Capital Markets US, 1270-999 West Hastings St., Vancouver, BC V6C2W2; Attn: Compliance Department

ANTI-MONEY LAUNDERING: IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT

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To help the government fight the funding of terrorism and money laundering, U.S. federal law (including the USA PATRIOT Act) requires all financial institutions to get, verify and record information that identifies each person or entity that opens an account or enters into a formal business relationship with them.

What this means for you: When you open an account, we will ask for your legal name, address, and a taxpayer or other government-issued identification number. We will also ask for your date of formation (for entities) or date of birth (for individuals).

For legal entity customers (for example, companies, partnerships and trusts), we may ask for documents that show the entity's legal status, such as articles of incorporation or a partnership agreement. We are also required to collect and verify identifying information for:

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• Each individual who owns, directly or indirectly, 25% or more of the entity; and

• One individual with significant responsibility for controlling or managing the entity.

We may ask for more documents and may use reliable third-party sources to verify the information you give us. If we can't verify your identity, we may be unable to open an account or do business with you.

RECORD KEEPING & PRIVACY 

We keep all documents and data for the periods required by applicable regulations. We treat client information as confidential. We may share records with our affiliates as permitted by law. We are also legally required to give records to regulators when they ask for them, both during and after your relationship with the firm.