Brokerage Client definition

Brokerage Client means any client or customer of a Broker-Dealer who receives Brokerage Services from such Broker-Dealer.
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Brokerage Client means any Person who receives brokerage, broker-dealer transaction processing, dealer, distributorship, custodial and related services, or any other services that involve acting as a broker-dealer or any ancillary services and activities related or incidental thereto from any BD Subsidiary.
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Brokerage Client means any Person to whom LP Securities, as the context requires, provides, on the date of this Agreement or prior to Closing, or has provided, securities transaction execution services or other broker-dealer related services.
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Examples of Brokerage Client in a sentence

  • Obtain and deliver to Pershing an executed Prime Brokerage Client Agreement in substantially the form provided by Pershing to Broker, for each prime brokerage customer of Broker.

  • The Ameriprise Brokerage Client Agreement, the Other Important Brokerage Disclosures Document and the Schedule of Account & Service Fees are collectively referred to as the “Brokerage Agreement” and set forth the terms under which brokerage services are provided to you as part of your Agreement.This Agreement is made between Sponsor and each of the client(s) (“Client”) who sign the Application.

  • The Ameriprise Brokerage Client Agreement, the Other Important Brokerage Disclosures Document and the Schedule of Account & Service Fees are collectively referred to as the “Brokerage Agreement” and set forth the terms under which brokerage services are provided to you as part of your Agreement.

  • From this we deduce that [Spec,IP2] is necessarily an A-position.

  • Sponsor will promptly notify you or your duly authorized agent, as applicable, of any decision to reject instructions from you or your agent.You will be required to establish a Money Settlement Option (“Sweep Program”) for which you are eligible, as described in Section 38 of the Ameriprise Brokerage Client Agreementand in the Other Important Brokerage Disclosures document.

  • The Ameriprise Brokerage Client Agreement, the Other Important Disclosures Document and the Schedule of Account & Service Fees are collectively referred to as the “Brokerage Agreement” and set forth the terms underwhich brokerage services are provided to you as part of your Agreement.This Agreement is made between Sponsor and each of the client(s) (“Client”) who signs the Application.

  • In addition, the IRA Application contains a paragraph stating:You acknowledge that you have received and read the Ameriprise Brokerage Client Agreement (“Agreement”) and agree to abide by its terms and conditions as currently in effect or as they may be amended from time to time.

  • This account is governed by a predispute arbitration provision which is found in Section 25, Page 9 of the Active Portfolios Client Agreement and Section 26, Page 3 of the Brokerage Client Agreement.

  • Bayles,87 the Supreme Court of Appeals of West Virginia compelled a widow to arbitrate claims arising out of her deceased husband’s Ameriprise brokerage account even though the account agreement containing the PDAA was not signed.88 Her husband had signed an IRA Application, which included an acknowledgement that the client had received and read the Brokerage Client Agreement, and that the agreement included a PDAA.

  • Brokerage: Client has contracted with brokerage to be the sole brokerage they will utilize to represent their interests.


More Definitions of Brokerage Client

Brokerage Client means an investor conducting derivatives transactions via the brokerage activities of a trading member.
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Related to Brokerage Client

  • Brokerage means the provision by a third party of services, for a fee, to source Sub-Contractors to provide the Services on behalf of the Provider.

  • Brokerage services means those activities identified in sections 543B.3 and 543B.6.

  • Brokerage agreement means a written or oral agreement

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Advisory Client means any client (including both investment companies and managed accounts) for which Invesco serves as an investment adviser, renders investment advice, or makes investment decisions.

  • Finder means a person who, for consideration, participates in the offer to sell, sale, or purchase of securities by locating, introducing, or referring potential purchasers or sellers. Finder does not include a person whose actions are solely incidental to a transaction exempt pursuant to section 202(1)(r). The administrator may by rule or order exclude other persons from this definition.

  • The Client means the organization purchasing the service.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • Retail Client means a client who is not a professional client;

  • Vendor or “Vendors” means any entity submitting a bid in response to the Solicitation, the entity that has been selected as the lowest responsible bidder, or the entity that has been awarded the Contract as context requires.

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

  • Client means the Project lead of technical wing of the Purchaser for whose’ particular project the Goods / Services have been procured or any other person, duly appointed in writing, by the Client, for the time being or from time to time, to act as Client for the purposes of the Contract.

  • Bona fide association means, with respect to health insurance coverage offered in this

  • Advisor or “ADVISORS” means the Person or Persons, if any, appointed, employed or contracted with by the Company pursuant to Section 8.1 hereof and responsible for directing or performing the day-to-day business affairs of the Company, including any Person to whom the Advisor subcontracts all or substantially all of such functions.

  • brokerage and research services shall have the meaning given in the Securities Exchange Act of 1934.

  • Merchant means a person who is authorized under a written contract with an acquirer to honor or accept credit cards, or to transmit or process for payment credit card payments, for the purchase of goods or services or a charitable contribution.

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

  • Brokering Services means the recruitment of individuals to participate in training that is to be subsidised under this VET Funding Contract, by an individual or organisation in exchange for payment from the Training Provider or the student, but excludes activities carried out by salaried individuals who are employees of the Training Provider whose role includes the identification and recruitment of potential students.

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Designated Broker Agreement means an agreement between the Manager, on behalf of an ETF, and the Designated Broker;

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Professional Client means a client meeting the criteria laid down in Annex II;

  • Brokers and Finders' Fees............................................ 13 2.14

  • Merchant Agreement means a writ- ten contract between a merchant and an acquirer to honor or accept credit cards, or to transmit or process for payment credit card payments, for the purchase of goods or services or a char- itable contribution.