Trading, Execution and Other Services. I understand Xxxxxx Xxxxx will provide nondiscretionary broker-dealer services. I understand and agree with respect to this Account, Xxxxxx Xxxxx is acting in the capacity or role of a broker- dealer and my financial advisor is an associated person of Xxxxxx Xxxxx as defined by the Securities and Exchange Commission’s Regulation Best Interest. Xxxxxx Xxxxx may also provide information about financial products, as well as investment research, investment recommendations, financial assessment tools, investor education, advice incidental to such services, and other services, to enable me to make my investment decisions. These services will be limited to those offered by Xxxxxx Xxxxx in its regular course of business and subject to such limits as Xxxxxx Xxxxx may establish from time to time for my Accounts. I agree these services do not constitute financial planning or investment advisory services as provided by a Registered Investment Adviser. Unless otherwise stated in a written agreement between me and Xxxxxx Xxxxx, I understand that Xxxxxx Xxxxx will not charge a separate fee for these services. I understand that should I determine I need financial planning services, I can learn about Xxxxxx Xxxxx’ financial planning offering(s) by speaking with my financial advisor or going to xxxxxxxxxxx.xxx/xxxxxxxxxxxxxxxxx to review the available financial planning documents. While Xxxxxx Xxxxx may from time to time provide generalized tax or legal information, I understand and agree that such information does not constitute tax or legal advice, and I must rely on my own independent tax advisor and/or attorney for such advice. My financial advisor may utilize a professional designation. I understand that Xxxxxx Xxxxx is not affiliated with any of the sponsoring firms of such professional designations and that the use or attainment by my financial advisor of a particular professional designation in no way implies that either Xxxxxx Xxxxx or my financial advisor provides financial planning services or investment advisory services, for my Account. I authorize and direct Xxxxxx Xxxxx, as broker-dealer, to provide execution services for securities and financial investments in my Account. Xxxxxx Xxxxx will arrange for delivery and payment in connection with the execution services rendered to me, and I authorize Xxxxxx Xxxxx to act on my behalf in all other matters necessary or incidental to the handling of my Account. Transactions in my Account will be made in accordance wit...
