Arbitration Provision. To the extent permitted by law, any controversy or dispute which may arise between Client and Xxxxxxxx Advisors concerning any transaction or the construction, performance or breach of this Agreement will be settled by arbitration. Any arbitration will be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel will consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision will be held in a location as determined by the rules of the American Arbitration Association. The award of the arbitrators will be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. Client notes the following provisions of arbitration: • Arbitration is final and binding on all parties. • The parties are waiving their right to seek remedies in court, including the right to jury trial, except to the extent such a waiver would violate applicable law. • Pre-arbitration discovery is generally more limited than and different from court proceedings. • The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The agreement to arbitrate does not entitle Client to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement may assert the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and Client expressly agrees that any issues relating to the application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, will not preclude its assertion before the arbitrators. Client understands that this agreement to arbitrate does not constitute a waiver of the right to seek a judicial forum where such waiver would be void under the federal securities law if more than one, all principals to the account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated. NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE. Client Name: Client Name: Client Signature: Client Signature: Date: ACCEPTED by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors By: _ Date: Name: Title: Addendum I Accounts under Management by Xxxxxxxx Advisors In accordance with the Asset Management Agreement executed by Client with Xxxxxxxx Financial Group d/b/a Xxxxxxxx Advisors on (“Agreement”), Client hereby instructs Xxxxxxxx Advisors to provide asset management services to the accounts listed below. Name of Qualified Custodian Account Number/Description of Assets Approximate Value Xxxxxxx Xxxxxx Xxxxxxxx Advisors will not provide asset management services to any accounts or assets unless those accounts or assets are specifically identified in this Addendum I. Client Assets Excluded from receiving asset management services: Name of Qualified Custodian Account Number/Description of Assets Client Name: Client Signature: Date: Client Name: Client Signature: Date: Addendum II ACKNOWLEDGEMENT OF ASSIGNED INVESTMENT ADVISER REPRESENTATIVE The following investment adviser representative acknowledges his or her assignment by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors as investment adviser representative of record for the Account under this Agreement and understands the terms of this Agreement. Investment Adviser Rep Signature Investment Adviser Rep Name Printed *This Agreement supersedes ALL prior agreements and understandings (whether written or oral) between Xxxxxxxx Advisors and Client with respect to the subject matter hereof. Acknowledgement for ERISA Plan Participants Requesting Rollovers to IRAs Client wishes to discuss rollover options with a representative of Xxxxxxxx Advisors. Xxxxxxxx Advisors has an existing relationship with the ERISA Plan in which client’s assets are currently invested and client further acknowledges and understands: • This rollover activity is initiated by Client. • As an active, retired, or terminated participant in a 401(k) or other ERISA plan, Client has the right to keep money in the ERISA plan, provided Client meets certain criteria and account balance minimums outlined in the plan documents. • Client acknowledges and understands they are under no obligation to utilize the services of Xxxxxxxx Advisors. • Xxxxxxxx Advisors will discuss with Client the following options: (1) leaving Client’s assets in the ERISA Plan, if permitted; (2) rolling over the assets to a new employer’s ERISA plan if one is available and rollovers are permitted;
Appears in 2 contracts
Samples: Everhart Advisors Asset Management Agreement, Everhart Advisors Asset Management Agreement
Arbitration Provision. To the extent permitted by law, any controversy or dispute which may arise between Client and Xxxxxxxx Advisors concerning any transaction or the construction, performance or breach of this Agreement will be settled by arbitration. Any arbitration will be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel will consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision will be held in a location as determined by the rules of the American Arbitration Association. The award of the arbitrators will be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. Client notes the following provisions of arbitration: • Arbitration is final and binding on all parties. • The parties are waiving their right to seek remedies in court, ; including the right to jury trial, except to the extent such a waiver would violate applicable law. • Pre-arbitration discovery is generally more limited than and different from court proceedings. • The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • Any controversy or dispute, which may arise between you and Advisor concerning any transaction or the construction, performance or breach of this Agreement, shall be settled by arbitration. Any arbitration shall be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The agreement arbitration panel shall consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision shall be held in a location as determined by the rules of the American Arbitration Association. • The award of the arbitrators shall be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. • The Agreement to arbitrate does not entitle Client you to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement Agreement may assert the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and Client you expressly agrees agree that any issues relating to the application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, will shall not preclude its assertion before the arbitrators. Client understands that this agreement to arbitrate does not constitute a waiver of the right to seek a judicial forum where such waiver would be void under the federal securities law if more than one, all principals to the account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated. NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE. Client Name: Client Name: Client Signature: Client Signature: Date: ACCEPTED by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors By: _ Date: Name: Title: Addendum I Accounts under Management by Xxxxxxxx Advisors In accordance with the Asset Management Agreement executed by Client with Xxxxxxxx Financial Group d/b/a Xxxxxxxx Advisors on (“Agreement”), Client hereby instructs Xxxxxxxx Advisors to provide asset management services to the accounts listed below. Name of Qualified Custodian Account Number/Description of Assets Approximate Value Xxxxxxx Xxxxxx Xxxxxxxx Advisors will not provide asset management services to any accounts or assets unless those accounts or assets are specifically identified in this Addendum I. Client Assets Excluded from receiving asset management services: Name of Qualified Custodian Account Number/Description of Assets Client Name: Client Signature: Date: Client Name: Client Signature: Date: Addendum II ACKNOWLEDGEMENT OF ASSIGNED INVESTMENT ADVISER REPRESENTATIVE The following investment adviser representative acknowledges his or her assignment by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors as investment adviser representative of record for the Account under this Agreement and understands the terms of this Agreement. Investment Adviser Rep Signature Investment Adviser Rep Name Printed *This Agreement supersedes ALL prior agreements and understandings (whether written or oral) between Xxxxxxxx Advisors and Client with respect to the subject matter hereof. Acknowledgement for ERISA Plan Participants Requesting Rollovers to IRAs Client wishes to discuss rollover options with a representative of Xxxxxxxx Advisors. Xxxxxxxx Advisors has an existing relationship with the ERISA Plan in which client’s assets are currently invested and client further acknowledges and understands: • This rollover activity is initiated by Client. • As an active, retired, or terminated participant in a 401(k) or other ERISA plan, Client has the right to keep money in the ERISA plan, provided Client meets certain criteria and account balance minimums outlined in the plan documents. • Client acknowledges and understands they are under no obligation to utilize the services of Xxxxxxxx Advisors. • Xxxxxxxx Advisors will discuss with Client the following options: (1) leaving Client’s assets in the ERISA Plan, if permitted; (2) rolling over the assets to a new employer’s ERISA plan if one is available and rollovers are permitted;.
Appears in 1 contract
Samples: Investment Management Agreement
Arbitration Provision. To the extent permitted by law, any controversy or dispute which may arise between Client and Xxxxxxxx Advisors concerning any transaction or the construction, performance or breach of this Agreement will be settled by arbitration. Any arbitration will be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel will consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision will be held in a location as determined by the rules of the American Arbitration Association. The award of the arbitrators will be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. Client notes the following provisions of arbitration: • Arbitration is final and binding on all parties. • The parties are waiving their right to seek remedies in court, including the right to jury trial, except to the extent such a waiver would violate applicable law. • Pre-arbitration discovery is generally more limited than and different from court proceedings. • The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The agreement to arbitrate does not entitle Client to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement may assert the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and Client expressly agrees that any issues relating to the application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, will not preclude its assertion before the arbitrators. Client understands that this agreement to arbitrate does not constitute a waiver of the right to seek a judicial forum where such waiver would be void under the federal securities law if more than one, all principals to the account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated. NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE. Client Name: Client Name: Client Signature: Client Signature: Date: ACCEPTED by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors By: _ Date: Name: Title: Addendum I Accounts under Management by Xxxxxxxx Advisors In accordance with the Asset Management Agreement executed by Client with Xxxxxxxx Financial Group d/b/a Xxxxxxxx Advisors on (“Agreement”), Client hereby instructs Xxxxxxxx Advisors to provide asset management services to the accounts listed below. Name of Qualified Custodian Account Number/Description of Assets Approximate Value Xxxxxxx Xxxxxx Xxxxxxxx Xxxxxxxx Advisors will not provide asset management services to any accounts or assets unless those accounts or assets are specifically identified in this Addendum I. Client Assets Excluded from receiving asset management services: Name of Qualified Custodian Account Number/Description of Assets Client Name: Client Signature: Date: Client Name: Client Signature: Date: Addendum II ACKNOWLEDGEMENT OF ASSIGNED INVESTMENT ADVISER REPRESENTATIVE The following investment adviser representative acknowledges his or her assignment by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors as investment adviser representative of record for the Account under this Agreement and understands the terms of this Agreement. Investment Adviser Rep Signature Investment Adviser Rep Name Printed *This Agreement supersedes ALL prior agreements and understandings (whether written or oral) between Xxxxxxxx Advisors and Client with respect to the subject matter hereof. Acknowledgement for ERISA Retirement Plan Participants Requesting Rollovers to IRAs Client wishes to discuss rollover options with a representative of Xxxxxxxx Advisors. Xxxxxxxx Advisors has an existing relationship with the ERISA Plan in which client’s assets are currently invested Employee Communication and client further acknowledges and understands: • This rollover activity is initiated by Client. Education Disclaimers • As an active, retired, or terminated participant in a 401(k) or other ERISA plan, Client has you have the right and ability to keep your money in the ERISA that 401(k) plan, provided Client your account balance meets certain criteria and account balance minimums outlined in the plan documentsdocument. • Client acknowledges If you are considering a rollover out of your 401(k) plan, we want to make sure you understand that you have choices and understands they you are under no obligation to utilize the services of provided by Xxxxxxxx Advisors. • The information provided to you by financial advisors with Xxxxxxxx Advisors will discuss is for information and/or education purposes (this includes illustrations, presentations, and other reports). • Financial Advisors with Client Xxxxxxxx Advisors do not provide tax, accounting or legal advice. Consult your own independent advisor as to any tax, accounting or legal matters. • XXX Rollovers established with Xxxxxxxx Advisors may have different costs associated with them, depending on the type of investment vehicle/s you chose within the XXX. Some investments may be less expensive than your 401(k) plan options; some may be more expensive than your 401(k) investment options. Xxxxxxxx Advisors may earn commissions and/or management fees as the advisor of the XXX account. You should examine all fees and expenses prior to making an investment decision. What should you consider when selecting an investment plan? Before investing in an annuity contract, mutual fund or any other investment vehicle you should learn about the specific financial product you are considering. Request a prospectus or any other available material from the insurance company, investment company or from your financial adviser, and read it carefully. The prospectus contains important information about the financial product- including risks, surrender charge schedule, expenses, fees and charges, investment options, death benefits, annuity payout options, and other important information. Compare the benefits and costs of your selected investment to other similar investments as well as to other types of financial products. Before you decide to purchase an annuity, consider the following optionsquestions and consult with your financial advisor to be sure you can answer them to your satisfaction and benefit. ✓ Will you use the annuity primarily to save for retirement or a similar long-term goal? ✓ Will the annuity help to address your retirement income needs? ✓ Are you investing in the annuity through a retirement plan or XXX (which would mean that you are not receiving any additional tax-deferral benefit from the annuity)? ✓ Are there features and benefits in the annuity contract, other than tax deferral that make an annuity purchase appropriate? ✓ Do you understand the features of the variable contract? ✓ Do you understand all of the fees and expenses of the annuity? ✓ Do you intend to keep your money in the annuity long enough to avoid paying any surrender charges if you withdraw money? ✓ Have you consulted with a tax advisor and considered all the tax consequences of purchasing an annuity, including the effect of annuity payments on your tax status in retirement or death benefit payments to your beneficiaries? 000.000.0000 0000 Xxxxxxx Xxxxx Xxxxx X. Xxxxxx, XX 00000 Client Acknowledgement: I have read and understand the information provided in the “Participant Disclosure”. I acknowledge that I have the option of working with Financial Advisors who are not associated with Xxxxxxxx Advisors. I also understand that my employer is not endorsing my relationship with Xxxxxxxx Advisors for investment and financial services provided on my assets. Printed Name: _ Printed Name: Signature: Signature: Date CLIENT RISK PROFILE QUESTIONNAIRE Client Name: Date: Client Address City State Zip Home phone #( ) - Business phone # ( ) - Business phone # ( ) - . US Citizen Non-Resident Alien Resident Alien Client Date of Birth Annual Income Tax Bracket Net Worth Liquid Net Worth Investment Knowledge (1Choose one): Limited Good Excellent Risk Exposure (Choose one): Low Moderate Aggressive Speculation Investment Objective (Choose one): Current Income Balanced Growth & Income Growth Maximum Growth Investment Experience: None Limited Good Excellent Describe Other investment experience What types of investments may be included in your portfolio? Stocks Bonds Mutual Funds ETFs Variable Annuities Unit Investment Trusts Other- Please describe: What time horizon is most appropriate for your portfolio? (Check one) leaving Client’s 10+ years 6-10 years 3-5 years Less than 3 years Investing is a long-term commitment and account valuations may fluctuate. Thus, it is important to know if and when you may need any of the assets in your investment portfolio especially in the ERISA Planfirst 10 years. Please list below. Less than 3 years $ 3 to 5 years $ 5 to 10 years $ More than 10 years $ Are there any types of asset classes, if permitted; (2) rolling over the assets styles or industries that you do not wish to a new employer’s ERISA plan if one is available have in your portfolio? Yes No Asset classes can include small capitalized or large capitalized companies, domestic and rollovers are permitted;foreign equities, and bonds of different companies and duration. Styles include, for example, growth investing, or value investing. Examples of Industries are: telecommunications, manufacturing, finance, biotechnology, retail, oil, and many more. Do NOT invest my portfolio in Client Names: Client Signature: Date:
Appears in 1 contract
Arbitration Provision. To the extent permitted by law, any controversy or dispute which may arise between Client and Xxxxxxxx Advisors concerning any transaction or the construction, performance or breach of this Agreement will be settled by arbitration. Any arbitration will be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel will consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision will be held in a location as determined by the rules of the American Arbitration Association. The award of the arbitrators will be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. Client notes the following provisions of arbitration: • Arbitration is final and binding on all parties. • - The parties are waiving their right to seek remedies in court, including the right to jury trial, except to the extent such a waiver would violate applicable law. • - Pre-arbitration discovery is generally more limited than and different from court proceedings. • - The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. • - The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. Any controversy or dispute which may arise between the Client and Adviser concerning any transaction or the construction, performance or breach of this agreement shall be settled by arbitration. Any arbitration shall be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel shall consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision shall be held at such place in the State of Wisconsin as shall determined by the rules of the American Arbitration Association. The award of the arbitrators shall be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. The agreement to arbitrate does not entitle the Client to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement may assert the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and the Client expressly agrees that any issues relating to the application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, will shall not preclude its assertion before the arbitrators. Client understands that this agreement to arbitrate does not constitute a waiver of the right to seek a judicial forum where such waiver would be void under the federal securities law if more than one, all principals to the account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated. NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE. Client Name: Client Name: Client Signature: Client Signature: Date: ACCEPTED by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors By: _ Date: Name: Title: Addendum I Accounts under Management by Xxxxxxxx Advisors In accordance with the Asset Management Agreement executed by Client with Xxxxxxxx Financial Group d/b/a Xxxxxxxx Advisors on (“Agreement”), Client hereby instructs Xxxxxxxx Advisors to provide asset management services to the accounts listed below. Name of Qualified Custodian Account Number/Description of Assets Approximate Value Xxxxxxx Xxxxxx Xxxxxxxx Advisors will not provide asset management services to any accounts or assets unless those accounts or assets are specifically identified in this Addendum I. Client Assets Excluded from receiving asset management services: Name of Qualified Custodian Account Number/Description of Assets Client Name: Client Signature: Date: Client Name: Client Signature: Date: Addendum II ACKNOWLEDGEMENT OF ASSIGNED INVESTMENT ADVISER REPRESENTATIVE The following investment adviser representative acknowledges his or her assignment by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors as investment adviser representative of record for the Account under this Agreement and understands the terms of this Agreement. Investment Adviser Rep Signature Investment Adviser Rep Name Printed *This Agreement supersedes ALL prior agreements and understandings (whether written or oral) between Xxxxxxxx Advisors and Client with respect to the subject matter hereof. Acknowledgement for ERISA Plan Participants Requesting Rollovers to IRAs Client wishes to discuss rollover options with a representative of Xxxxxxxx Advisors. Xxxxxxxx Advisors has an existing relationship with the ERISA Plan in which client’s assets are currently invested and client further acknowledges and understands: • This rollover activity is initiated by Client. • As an active, retired, or terminated participant in a 401(k) or other ERISA plan, Client has the right to keep money in the ERISA plan, provided Client meets certain criteria and account balance minimums outlined in the plan documents. • Client acknowledges and understands they are under no obligation to utilize the services of Xxxxxxxx Advisors. • Xxxxxxxx Advisors will discuss with Client the following options: (1) leaving Client’s assets in the ERISA Plan, if permitted; (2) rolling over the assets to a new employer’s ERISA plan if one is available and rollovers are permitted;.
Appears in 1 contract
Arbitration Provision. To the extent permitted by law, any controversy or dispute which may arise between Client and Xxxxxxxx Advisors concerning any transaction or the construction, performance or breach of this Agreement will be settled by arbitration. Any arbitration will be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel will consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision will be held in a location as determined by the rules of the American Arbitration Association. The award of the arbitrators will be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. Client notes the following provisions of arbitration: • Arbitration is final and binding on all parties. • - The parties are waiving their right to seek remedies in court, ; including the right to jury trial, except to the extent such a waiver would violate applicable law. • - Pre-arbitration discovery is generally more limited than and different from court proceedings. • - The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. • - The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The parties agree that any arbitration proceeding pursuant to this provision shall be held under and in a location as determined by the rules of the Financial Regulatory Authority (FINRA), or by the arbitration rules of any National Securities Exchange on which a transaction giving rise to the claim took place, as Client may elect. The award of the arbitrators shall be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. The agreement to arbitrate does not entitle Client to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement Agreement may assert the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and Client expressly agrees that any issues relating to the application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, will shall not preclude its assertion before the arbitrators. Client understands that this agreement to arbitrate does not constitute a waiver of the right Although there are other forums for client to seek a judicial forum where such waiver would be void under resolution and damages, by signing this agreement, client agrees to waive said rights to alternate forums and submits to mandatory arbitration by the federal securities law if more than one, all principals to the account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated. NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE. Client Name: Client Name: Client Signature: Client Signature: Date: ACCEPTED by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors By: _ Date: Name: Title: Addendum I Accounts under Management by Xxxxxxxx Advisors In accordance with the Asset Management Agreement executed by Client with Xxxxxxxx Financial Group d/b/a Xxxxxxxx Advisors on (“Agreement”), Client hereby instructs Xxxxxxxx Advisors to provide asset management services to the accounts listed below. Name of Qualified Custodian Account Number/Description of Assets Approximate Value Xxxxxxx Xxxxxx Xxxxxxxx Advisors will not provide asset management services to any accounts or assets unless those accounts or assets are specifically identified in this Addendum I. Client Assets Excluded from receiving asset management services: Name of Qualified Custodian Account Number/Description of Assets Client Name: Client Signature: Date: Client Name: Client Signature: Date: Addendum II ACKNOWLEDGEMENT OF ASSIGNED INVESTMENT ADVISER REPRESENTATIVE The following investment adviser representative acknowledges his or her assignment by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors as investment adviser representative of record for the Account under this Agreement and understands the terms of this Agreement. Investment Adviser Rep Signature Investment Adviser Rep Name Printed *This Agreement supersedes ALL prior agreements and understandings (whether written or oral) between Xxxxxxxx Advisors and Client with respect to the subject matter hereof. Acknowledgement for ERISA Plan Participants Requesting Rollovers to IRAs Client wishes to discuss rollover options with a representative of Xxxxxxxx Advisors. Xxxxxxxx Advisors has an existing relationship with the ERISA Plan in which client’s assets are currently invested and client further acknowledges and understands: • This rollover activity is initiated by Client. • As an active, retired, or terminated participant in a 401(k) or other ERISA plan, Client has the right to keep money in the ERISA plan, provided Client meets certain criteria and account balance minimums outlined in the plan documents. • Client acknowledges and understands they are under no obligation to utilize the services of Xxxxxxxx Advisors. • Xxxxxxxx Advisors will discuss with Client the following options: (1) leaving Client’s assets in the ERISA Plan, if permitted; (2) rolling over the assets response to a new employer’s ERISA plan if one is available and rollovers are permitted;dispute.
Appears in 1 contract
Arbitration Provision. To the extent permitted by law, any controversy or dispute which may arise between Client and Xxxxxxxx Advisors concerning any transaction or the construction, performance or breach of this Agreement will be settled by arbitration. Any arbitration will be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel will consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision will be held in a location as determined by the rules of the American Arbitration Association. The award of the arbitrators will be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. Client notes the following provisions of arbitration: • Arbitration is final and binding on all parties. • The parties are waiving their right to seek remedies in court, including the right to jury trial, except to the extent such a waiver would violate applicable law. • Pre-arbitration discovery is generally more limited than and different from court proceedings. • The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The agreement to arbitrate does not entitle Client to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement may assert the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and Client expressly agrees that any issues relating to the application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, will not preclude its assertion before the arbitrators. Client understands that this agreement to arbitrate does not constitute a waiver of the right to seek a judicial forum where such waiver would be void under the federal securities law if more than one, all principals to the account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated. NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE. Client Name: Client Name: Client Signature: Client Signature: Date: ACCEPTED by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors By: _ Date: Name: Title: Addendum I Accounts under Management by Xxxxxxxx Advisors In accordance with the Asset Management Agreement executed by Client with Xxxxxxxx Financial Group d/b/a Xxxxxxxx Advisors on (“Agreement”), Client hereby instructs Xxxxxxxx Advisors to provide asset management services to the accounts listed below. Name of Qualified Custodian Account Number/Description of Assets Approximate Value Xxxxxxx Xxxxxx Xxxxxxxx Advisors will not provide asset management services to any accounts or assets unless those accounts or assets are specifically identified in this Addendum I. Client Assets Excluded from receiving asset management services: Name of Qualified Custodian Account Number/Description of Assets Client Name: Client Signature: Date: Client Name: Client Signature: Date: Addendum II ACKNOWLEDGEMENT OF ASSIGNED INVESTMENT ADVISER REPRESENTATIVE The following investment adviser representative acknowledges his or her assignment by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors as investment adviser representative of record for the Account under this Agreement and understands the terms of this Agreement. Investment Adviser Rep Signature Investment Adviser Rep Name Printed *This Agreement supersedes ALL prior agreements and understandings (whether written or oral) between Xxxxxxxx Advisors and Client with respect to the subject matter hereof. Acknowledgement for ERISA Retirement Plan Participants Requesting Rollovers to IRAs Client wishes to discuss rollover options with a representative of Xxxxxxxx Advisors. Xxxxxxxx Advisors has an existing relationship with the ERISA Plan in which client’s assets are currently invested Employee Communication and client further acknowledges and understands: • This rollover activity is initiated by Client. Education Disclaimers • As an active, retired, or terminated participant in a 401(k) or other ERISA plan, Client has you have the right and ability to keep your money in the ERISA that 401(k) plan, provided Client your account balance meets certain criteria and account balance minimums outlined in the plan documentsdocument. • Client acknowledges If you are considering a rollover out of your 401(k) plan, we want to make sure you understand that you have choices and understands they you are under no obligation to utilize the services of provided by Xxxxxxxx Advisors. • The information provided to you by financial advisors with Everhart Advisors is for information and/or education purposes (this includes illustrations, presentations, and other reports). • Financial Advisors with Xxxxxxxx Advisors will discuss do not provide tax, accounting or legal advice. Consult your own independent advisor as to any tax, accounting or legal matters. • XXX Xxxxxxxxx established with Client Xxxxxxxx Advisors may have different costs associated with them, depending on the type of investment vehicle/s you chose within the IRA. Some investments may be less expensive than your 401(k) plan options; some may be more expensive than your 401(k) investment options. Xxxxxxxx Advisors may earn commissions and/or management fees as the advisor of the IRA account. You should examine all fees and expenses prior to making an investment decision. What should you consider when selecting an investment plan? Before investing in an annuity contract, mutual fund or any other investment vehicle you should learn about the specific financial product you are considering. Request a prospectus or any other available material from the insurance company, investment company or from your financial adviser, and read it carefully. The prospectus contains important information about the financial product- including risks, surrender charge schedule, expenses, fees and charges, investment options, death benefits, annuity payout options, and other important information. Compare the benefits and costs of your selected investment to other similar investments as well as to other types of financial products. Before you decide to purchase an annuity, consider the following options: (1) leaving Client’s assets questions and consult with your financial advisor to be sure you can answer them to your satisfaction and benefit. ✓ Will you use the annuity primarily to save for retirement or a similar long-term goal? ✓ Will the annuity help to address your retirement income needs? ✓ Are you investing in the ERISA Planannuity through a retirement plan or IRA (which would mean that you are not receiving any additional tax-deferral benefit from the annuity)? ✓ Are there features and benefits in the annuity contract, other than tax deferral that make an annuity purchase appropriate? ✓ Do you understand the features of the variable contract? ✓ Do you understand all of the fees and expenses of the annuity? ✓ Do you intend to keep your money in the annuity long enough to avoid paying any surrender charges if permitted; (2) rolling over you withdraw money? ✓ Have you consulted with a tax advisor and considered all the assets tax consequences of purchasing an annuity, including the effect of annuity payments on your tax status in retirement or death benefit payments to a new employer’s ERISA plan if one your beneficiaries? 000.000.0000 0000 Xxxxxxx Xxxxx Xxxxx X. Xxxxxx, XX 00000 Client Acknowledgement: I have read and understand the information provided in the “Participant Disclosure”. I acknowledge that I have the option of working with Financial Advisors who are not associated with Xxxxxxxx Advisors. I also understand that my employer is available not endorsing my relationship with Xxxxxxxx Advisors for investment and rollovers are permitted;financial services provided on my assets. Printed Name: Printed Name:
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Arbitration Provision. To the extent permitted by law, any controversy or dispute which may arise between Client and Xxxxxxxx Advisors concerning any transaction or the construction, performance or breach of this Agreement will be settled by arbitration. Any arbitration will be pursuant to the rules, then applying, of the American Arbitration Association, except to the extent set forth herein. The arbitration panel will consist of at least three individuals, with at least one panelist having knowledge of investment advisory activities. The parties agree that any arbitration proceeding pursuant to this provision will be held in a location as determined by the rules of the American Arbitration Association. The award of the arbitrators will be final and binding on the parties, and judgment upon the award rendered may be entered into in any court, state or federal, having jurisdiction. Client notes the following provisions of arbitration: • Arbitration is final and binding on all parties. • The parties are waiving their right to seek remedies in court, including the right to jury trial, except to the extent such a waiver would violate applicable law. • Pre-arbitration discovery is generally more limited than and different from court proceedings. • The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The agreement to arbitrate does not entitle Client to obtain arbitration of claims that would be barred by the relevant statute of limitations if such claims were brought in a court of competent jurisdiction. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated would have been barred by the relevant statute of limitations or other time bar, any party to this agreement may assert the limitations as a bar to the arbitration by applying to any court of competent jurisdiction, and Client expressly agrees that any issues relating to the application of a statute of limitations or other time bar, are referable to such a court. The failure to assert such bar by application to a court, however, will not preclude its assertion before the arbitrators. Client understands that this agreement to arbitrate does not constitute a waiver of the right to seek a judicial forum where such waiver would be void under the federal securities law if more than one, all principals to the account must sign. If any signatory is a fiduciary, the capacity in which he or she is acting should be indicated. NOTE: THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE. Client Name: Client Name: Client Signature: Client Signature: Date: ACCEPTED by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors By: _ Date: Name: Title: Addendum I Accounts under Management by Xxxxxxxx Advisors In accordance with the Asset Management Agreement executed by Client with Xxxxxxxx Financial Group d/b/a Xxxxxxxx Advisors on (“Agreement”), Client hereby instructs Xxxxxxxx Advisors to provide asset management services to the accounts listed below. Name of Qualified Custodian Account Number/Description of Assets Approximate Value Xxxxxxx Xxxxxx Xxxxxxxx Advisors will not provide asset management services to any accounts or assets unless those accounts or assets are specifically identified in this Addendum I. Client Assets Excluded from receiving asset management services: Name of Qualified Custodian Account Number/Description of Assets Client Name: Client Signature: Date: Client Name: Client Signature: Date: Addendum II ACKNOWLEDGEMENT OF ASSIGNED INVESTMENT ADVISER REPRESENTATIVE The following investment adviser representative acknowledges his or her assignment by Xxxxxxxx Financial Group, Inc. d/b/a Xxxxxxxx Advisors as investment adviser representative of record for the Account under this Agreement and understands the terms of this Agreement. Investment Adviser Rep Signature Investment Adviser Rep Name Printed *This Agreement supersedes ALL prior agreements and understandings (whether written or oral) between Xxxxxxxx Advisors and Client with respect to the subject matter hereof. Acknowledgement for ERISA Retirement Plan Participants Requesting Rollovers to IRAs Client wishes to discuss rollover options with a representative of Xxxxxxxx Advisors. Xxxxxxxx Advisors has an existing relationship with the ERISA Plan in which client’s assets are currently invested Employee Communication and client further acknowledges and understands: • This rollover activity is initiated by Client. • Education Disclaimers As an active, retired, or terminated participant in a 401(k) or other ERISA plan, Client has you have the right and ability to keep your money in the ERISA that 401(k) plan, provided Client your account balance meets certain criteria and account balance minimums outlined in the plan documentsdocument. • Client acknowledges If you are considering a rollover out of your 401(k) plan, we want to make sure you understand that you have choices and understands they you are under no obligation to utilize the services of provided by Xxxxxxxx Advisors. • The information provided to you by financial advisors with Xxxxxxxx Advisors will discuss is for information and/or education purposes (this includes illustrations, presentations, and other reports). Financial Advisors with Client Xxxxxxxx Advisors do not provide tax, accounting or legal advice. Consult your own independent advisor as to any tax, accounting or legal matters. XXX Rollovers established with Xxxxxxxx Advisors may have different costs associated with them, depending on the type of investment vehicle/s you chose within the XXX. Some investments may be less expensive than your 401(k) plan options; some may be more expensive than your 401(k) investment options. Xxxxxxxx Advisors may earn commissions and/or management fees as the advisor of the XXX account. You should examine all fees and expenses prior to making an investment decision. What should you consider when selecting an investment plan? Before investing in an annuity contract, mutual fund or any other investment vehicle you should learn about the specific financial product you are considering. Request a prospectus or any other available material from the insurance company, investment company or from your financial adviser, and read it carefully. The prospectus contains important information about the financial product- including risks, surrender charge schedule, expenses, fees and charges, investment options, death benefits, annuity payout options, and other important information. Compare the benefits and costs of your selected investment to other similar investments as well as to other types of financial products. Before you decide to purchase an annuity, consider the following options: (1) leaving Client’s assets questions and consult with your financial advisor to be sure you can answer them to your satisfaction and benefit. Will you use the annuity primarily to save for retirement or a similar long-term goal? Will the annuity help to address your retirement income needs? Are you investing in the ERISA Planannuity through a retirement plan or XXX (which would mean that you are not receiving any additional tax-deferral benefit from the annuity)? Are there features and benefits in the annuity contract, other than tax deferral that make an annuity purchase appropriate? Do you understand the features of the variable contract? Do you understand all of the fees and expenses of the annuity? Do you intend to keep your money in the annuity long enough to avoid paying any surrender charges if permitted; (2) rolling over you withdraw money? Have you consulted with a tax advisor and considered all the assets tax consequences of purchasing an annuity, including the effect of annuity payments on your tax status in retirement or death benefit payments to a new employer’s ERISA plan if one your beneficiaries? 000.000.0000 0000 Xxxxxxx Xxxxx Xxxxx X. Xxxxxx, XX 00000 Client Acknowledgement: I have read and understand the information provided in the “Participant Disclosure”. I acknowledge that I have the option of working with Financial Advisors who are not associated with Xxxxxxxx Advisors. I also understand that my employer is available not endorsing my relationship with Xxxxxxxx Advisors for investment and rollovers are permitted;financial services provided on my assets. Printed Name: Printed Name:
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