Common use of POTENTIAL CONFLICTS OF INTERESTS Clause in Contracts

POTENTIAL CONFLICTS OF INTERESTS. To be truly comprehensive in the services we deliver to you, it should also be understood that your Consultant may be licensed as an insurance agent and/or registered representative of a broker-dealer. Recommendations made under the authority of these licenses, such as insurance(s) or investment product(s), could generate a sales commission to our Firm. Per this agreement, your Consultant is REQUIRED to disclose all commissions our Firm may receive, in an actual dollarized value, prior to any commissionable recommendation being presented to you. Our Firm will also apply ALL revenue delivered from a commissioned sale to each Client’s retainer account with Southwestern Advisory Group; which could prevent the need for our Firm to invoice for billable hours, or quarterly service fees, until that account has been depleted. To assist in the avoidance of any potential conflicts of interest regarding commissionable product sales, our Consultants DO NOT possess, or exercise, any discretion with respect to client transactions that could generate a commissionable product sale. Your Consultant is not, and will not, be incentivized - monetarily or through gifts - to recommend transactions that could generate a commissionable product sale by our Firm, third-party custodian(s), investment advisor(s), investment product manufacturer(s), investment product distributor(s), retirement plan sponsor(s), broker-dealer(s) or insurance carrier(s). It should also be clearly understood that Xxxx Xxxxxxx Parks, President of Southwestern Advisory Group, also serves as President of Southwestern Enterprises, Southwestern Asset Management, Southwestern Farm Capital, Southwestern Capital Partners, Southwestern Land & Livestock, and Southwestern Management Services. No other Consultants with Southwestern Advisory Group maintain any leadership position, employee status or equity ownership in Southwestern Enterprises, Southwestern Asset Management, Southwestern Farm Capital, Southwestern Capital Partners, and Southwestern Land & Livestock. Consultants are employed by Southwestern Management Services but maintain no leadership positions or equity ownership.

POTENTIAL CONFLICTS OF INTERESTS. To be truly comprehensive in the services we deliver to you, it should also be understood that your Consultant may be licensed as an insurance agent and/or registered representative of a broker-dealer. Recommendations made under the authority of these licenses, such as insurance(s) or investment product(s), could generate a sales commission to our Firm. Per this agreement, your Consultant is REQUIRED to disclose all commissions our Firm may receive, in an actual dollarized value, prior to any commissionable recommendation being presented to you. Our Firm will also apply ALL revenue delivered from a commissioned sale to each Client’s retainer account with Southwestern Advisory Group; which could prevent the need for our Firm to invoice for billable hours, or quarterly service fees, until that account has been depleted. To assist in the avoidance of any potential conflicts of interest regarding commissionable product sales, our Consultants DO NOT possess, or exercise, any discretion with respect to client transactions that could generate a commissionable product sale. Your Consultant is not, and will not, be incentivized - monetarily or through gifts - to recommend transactions that could generate a commissionable product sale by our Firm, third-party custodian(s), investment advisor(s), investment product manufacturer(s), investment product distributor(s), retirement plan sponsor(s), broker-dealer(s) or insurance carrier(s). It should also be clearly understood that Xxxx Xxxxxxx ParksXxxxx, President of Southwestern Advisory Group, also serves as President of Southwestern Enterprises, Southwestern Asset Management, Southwestern Farm Capital, Southwestern Capital Partners, Southwestern Land & Livestock, and Southwestern Management Services. No other Consultants with Southwestern Advisory Group maintain any leadership position, employee status or equity ownership in Southwestern Enterprises, Southwestern Asset Management, Southwestern Farm Capital, Southwestern Capital Partners, and Southwestern Land & Livestock. Consultants are employed by Southwestern Management Services but maintain no leadership positions or equity ownership.