Trusted Contact. Under FINRA Rule 4512 Apex Clearing Corporation is required to disclose to you (the customer) that Apex Clearing Corporation or an associated person of Apex Clearing Corporation is authorized to contact the trusted contact person and disclose information about the customer’s account to address possible financial exploitation, to confirm the specifics of the customer’s current contact information, health status, or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by FINRA Rule 2165.
Trusted Contact. Client hereby designates the people listed on the Trusted Contact Person Designation below as “Trusted Contacts.” Such individuals must be age 18 or older. Client may at any time change any or all of its Trusted Contacts on written notice to Management. Client acknowledges that Management is not required to contact any of Client’s Trusted Contacts but may do so in its discretion. Client authorizes Management to contact any of Client’s Trusted Contacts, request information about Client and/or Client’s account and to take any direction from Client’s Trusted Contact, including trading, transfer or termination instructions, (a) upon Management’s receipt of written notice of the occurrence of a life-changing event for Client, such as Client’s death, incapacity or diminished capacity (each, a “Significant Life Event”), (b) to confirm the identity of Client’s legal guardian, executor, trustee or person holding a power of attorney for Client, (c) upon Management’s reasonable suspicion of Client’s incapacity or diminished capacity, (d) if Management suspects that financial exploitation of Client has occurred or may be attempted, or (e) if Management is unable to reach Client for an extended period of time. Client acknowledges that as provided in the Agreement, if Management suspects that financial exploitation of Client has occurred or been attempted, Management may also in good faith report that suspicion to the SEC, state securities regulatory authorities, law enforcement agencies, or state adult protective services. To allow Management continuous management of Client’s assets in the event of a Significant Life Event, Client hereby authorizes Management, after Management receives written notice of the occurrence a Significant Life Event, to provide any of Client’s Trusted Contacts with access to certain non-public personal information related to Client and Client’s account, upon written request by such Trusted Contact. Client agrees that the Agreement will not automatically terminate upon the occurrence of a Significant Life Event. Following a Significant Life Event, Management may continue to manage the Account in accordance with the then current Strategy or liquidate the Account at Management’s sole discretion until Management receives contrary instruction from a Trusted Contact or other person with authority to act for Client. Note, the custodian may choose to restrict the Account preventing Management from acting.
Trusted Contact. Under FINRA Rule 4512, Firstrade Securities Inc. is required to disclose to you (the customer) that our clearing firm, Apex Clearing Corporation or an associated person of Firstrade and Apex is authorized to contact the trusted contact person and disclose information about the customer’s account to address possible financial exploitation, to confirm the specifics of the customer’s current contact information, health status, or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by FINRA Rule 2165.
Trusted Contact. If you are over 65 years old, please provide the name and contact phone number of a trusted contact: Name Relationship Contact Number
Trusted Contact. To the extent that you have completed a Trusted Contact Form, MOIS is authorized to disclose any of your confidential information and discuss any of your accounts, including insurance products, to your Trusted Contact(s) as specified by you if MOIS is unable to promptly contact you using your contact information on record or if MOIS has concerns related to your health or mental capacity. Absent separate written instructions, this authorization does not give the above-named person(s) authority to transact business, including but not limited to, placing trades in or withdrawing funds from your account(s). This authorization also acknowledges that the Trusted Contact(s) provided by you to MOIS have reached the age of 18. If authorization has been granted by you, it shall remain in effect unless and until you notify us in writing that you are rescinding this authorization.
Trusted Contact. Under FINRA Rule 4512, WSI is required to disclose to you that WSI or an associated person of WSI is authorized to contact the trusted contact person and disclose information about your account to address possible financial exploitation, to confirm the specifics of your current contact information, health status, or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by FINRA Rule 2165
Trusted Contact. Consistent with the Customer Agreement, we may disclose information about your Investment Account to your Trusted Contact Person in order to address possible wrongful or unauthorized use of your assets or to confirm the specifics of your contact information, health status, or the identity of any legal guardian, executor, trustee, or holder of a power of attorney.
Trusted Contact. You may designate someone you trust who is at least 18 years of age (a “Trusted Contact”) to act as a resource if we lose contact with you or believe you and/ or your assets are at risk. By choosing to provide information about a Trusted Contact, you authorize us to contact this person and disclose information about your account to that person in the following circumstances: to address possible financial exploitation; to confirm the specifics of your current contact information, your health status or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by FINRA Rule 2165 (Financial Exploitation of Specified Adults). Designating a Trusted Contact does not mean you are authorizing him or her to act on your account. Instead, he or she can be a resource to protect your account from suspected fraud or if you are unable to speak for yourself. We will not release information beyond what is necessary to protect you and/or your assets from potential harm. To designate or change a Trusted Contact please call the Plan. Death or legal incapacity of the account owner and successor account owner – On your Enrollment Form, you may designate a successor account owner to take ownership of your account in the event of your death or legal incapacity. A successor account owner can be an individual, entity or trust but cannot be a minor. If you have already established an account, you may designate a successor account owner or change your designation by completing and submitting the appropriate form which may be obtained by contacting your State Farm Registered Representative through whom you opened your account, or by calling the Plan. If you do not designate a successor account owner, then the Beneficiary, rather than your estate, shall be named the account owner. Before the successor account owner will be permitted to transact business in respect to your account, he or she will be required to provide a certified copy of the death certificate, in the case of the death of the account owner, or an acceptable medical authorization or court order in the case of the legal incapacity of the account owner, and execute an Account Owner Change Form, accepting the terms of the then-current Program Disclosure Statement and Participation Agreement. If the new account owner is an entity or trust, appropriate documentation may be required to accompany the Account Owner Change Form.
Trusted Contact. Pursuant to FINRA rule 2165, we encourage you to add a trusted contact to your account. By naming a trusted contact, you authorize us to communicate with that person, if necessary, in the interest of protecting your account assets. There are several reasons we may communicate with your trusted contact, including reasonable suspicion of financial exploitation if we become concerned you are, or may become, a victim of fraud through deception or intimidation, or if we become concerned you are experiencing diminished capacity due to a mental or physical impairment such as Alzheimer's disease or dementia. A trusted contact should be a person you trust to provide an informed and objective assessment about your whereabouts, well-being, and health status. We may need to disclose certain account information to your trusted contact, but we'd only do so when relevant to verify this information. Although you decide who to name as your trusted contact, we suggest someone who isn't authorized to transact on your account. Additionally, in order to protect your assets, we may place a temporary hold on disbursements from your account if we reasonably believe financial exploitation is occurring. If you would like to provide us with a "Trusted Contact Person" please notify your financial professional or contact us at 000-000-0000.
Trusted Contact. You may appoint an adult at least 18 years of age as a Trusted Contact Person who we may contact about your Account. We may disclose information about your Account to your Trusted Contact Person in order address possible wrongful or unauthorized use of your assets or to confirm the specifics of your contact information, health status, or the identity of any legal guardian, executor, trustee, or holder of a power of attorney. THIS AGREEMENT CONTAINS A BINDING ARBITRATION PROVISION IN SECTION 8(D) WHICH MAY BE ENFORCED BY THE PARTIES. BY ACKNOWLEDGING MY CONSENT TO THIS AGREEMENT ELECTRONICALLY (WHETHER BY CLICKING “I AGREE,” PROVIDING SOME FORM OF ELECTRONIC SIGNATURE OR OTHERWISE), I AGREE TO BE BOUND BY THE TERMS AND CONDITIONS OF THIS AGREEMENT. Update: March 2019. SCHEDULE A POTENTIAL EXPENSES NOT COVERED BY THE ACCOUNT FEE Below is a list of Apex fees clients may incur that are not included in the Account Fee. These fees are incurred only upon request for the service by a client, not Company, and therefore are excluded from the fees and services covered by the Account Fee. You are solely responsible for the payment of any such fees. This list of fees is the current list of Apex fees, as represented to us by Apex, but Apex reserves the right to modify these fees in the future. Banking: Wire Transfers (Domestic Bank) $25.00 per wire Wire Transfers (Foreign Bank) $50.00 per wire Paper Check Draft (USD) Domestic $5.00 per check Paper Check Draft (USD) International $10.00 per check Returned Checks / ACH / Wires and Recalls $30.00 per item (Including amendments/repairs) ACH Notice of Correction $5.00 per notice Stop Payments on Apex Issued Checks $30.00 each Check Copies $15.00 each Third Party Distribution Notification $2.00 per notification Operations: Paper Confirm Fee $2.00 per confirm Paper Statements Fee (monthly and quarterly) $5.00 per statement Paper Tax Statements Fee $5.00 per statement Paper Prospectus Fee $2.50 per mailing Manual Account Opening Fee (non-API) $15.00 per account ACATS – Outgoing Non-Retirement $75.00 per account ACATS – Outgoing Partial $75.00 per account ACATS – Outgoing Retirement $75.00 per account Overnight Mail – Domestic $50.00 per request Overnight Mail – International (including Canada) $100.00 per request Retirement Account Termination Fee $60.00 per account
