Solicitor Responsibilities. You agree to: • Refer prospective clients to the Ellevest Referral Program solely through its Digital Platforms, at Ellevest’s direction and in consideration of any limitations imposed by Ellevest for such referral; • Not provide investment advice about Ellevest’s services to any referred individual; and • Not send any written or electronic communications to prospective clients expressing Solicitor’s views about the nature or quality of Ellevest’s investment advisory services. • Not promote the Ellevest Referral Program to third parties for any purposes other than encouraging people to become investors with Ellevest.
Solicitor Responsibilities. Solicitor shall be solely responsible for assuring that it, its employees, agents and representatives have obtained and, at all times during which this Agreement is in effect, maintain any registrations, licenses and qualifications under federal, state or any jurisdiction’s laws and regulations as are necessary for it to act under this Agreement. Solicitor agrees that it and its employees, agents, and representatives will perform the services under this Agreement in accordance with this Agreement, Advisor’s instructions, Advisor’s instructions concerning the Investment Advisors Act of 1940, as amended (the “Act”), and Securities and Exchange Commission (“SEC”) rules and regulations thereunder, and applicable federal, state or local law, including state law regarding the registration of solicitors as investment advisory representatives, and solicitor will supervise such employees, agents and representatives.
Solicitor Responsibilities
