Mid Atlantic Capital Corporation 1251 Waterfront Place Suite 510, Pittsburgh, PA Fax
|
|
- Joy Copeland
- 8 years ago
- Views:
Transcription
1 Mid Atlantic Capital Corporation 1251 Waterfront Place Suite 510, Pittsburgh, PA Fax Institutional New Account Application and Agreement ACCOUNT INFORMATION Name of Institution Mailing Address Mailing Address City State Zip Telephone Number Fax Number U.S. Tax Identification Number REGISTRATION TYPE Bank Savings and Loan Association Insurance Company Registered Investment Company Investment Adviser (registered under 203 of the Investment Advisers Act of 1940) Other entity with total assets of at least $50 million DVP/RVP INSTRUCTIONS DTC No: Inst. ID No. Agent Bank No. Customer No. AUTHORIZED INDIVIDUALS In addition to the Authorized Officers(s) signing below, the following persons (each a "Transacting Person") (1) are at least 18 years old; (2) hold the position with the investor stated next to his or her name; and (3) are authorized to effect transactions on behalf of the Authorized Officer(s) signing below. Name Title Telephone Address Name Title Telephone Address Name Title Telephone Address INTERESTED PARTIES (if desired) Check applicable boxes Name Address City, State, Zip Name Address City, State, Zip Confirms Statements Confirms Statements FOR INTERNAL USE ONLY X_ Registered Representative X MACC Principal MACC Account Number -1-
2 Signature and Taxpayer Certification We, the undersigned, hereby acknowledge that we are at least 18 years old and hold the position stated. We hereby acknowledge that we have read, understood and agreed to the terms set forth in the Customer Agreement herein. Under penalties of perjury, we certify that: (1) The tax identification number indicated on this Application is correct, and (2) the named accountholder is not subject to backup withholding because (A) it is exempt from backup withholding, OR (B) it has not been notified by the IRS that it is subject to backup withholding, OR (C) it has been notified by the IRS that it is no longer subject to backup withholding (NOTE: cross out item (2) before signing if it does not apply). We understand that telephone calls to Mid Atlantic Capital Corporation may be recorded and hereby consent to such recording. Reports of executions of orders and statements of our account shall be conclusive if not objected to in writing within five (5) days and ten (10) days respectively, after transmitted to us by mail or otherwise. In connection with any recommended transaction or investment strategy, including municipal securities by MACC, its associated persons, or an electronic trading system for which access is provided, the undersigned, who is authorized to act on behalf of the registrant, acknowledges and certifies that the registrant is an Institutional Account as defined in FINRA Rule 4512(c)3; it is capable of independently evaluating investment risks and market values, both in general and with regard to all transactions and investment strategies involving a security, securities and/or municipal securities; it will exercise independent judgment in evaluating the recommendations of MACC, its associated persons, unless it has otherwise notified MACC in writing; and it will notify MACC if anything in this certification ceases to be true. WE REPRESENT THAT WE HAVE READ THE TERMS AND CONDITIONS GOVERNING THIS ACCOUNT AND AGREE TO BE BOUND BY SUCH TERMS AND CONDITIONS AS ARE CURRENTLY IN EFFECT AND AS MAY BE AMENDED FROM TIME TO TIME. Pre-Dispute Arbitration THIS ACCOUNT IS GOVERNED BY A PRE-DISPUTE ARBITRATION CLAUSE, WHICH APPEARS IN SECTION 15 ON PAGE 4 OF THE CUSTOMER AGREEMENT. YOU ACKNOWLEDGE THAT YOU HAVE RECEIVED A COPY OF THIS CLAUSE. Authorized Officer/Title Signature Address Authorized Officer/Title Signature Address Authorized Officer/Title Signature Address -2-
3 Customer Agreement (Please retain for your records) TO MID ATLANTIC CAPITAL CORPORATION ("MACC"): Account carried by National Financial Services LLC, Member NYSE/SIPC 1. Nature of Services Provided. I, the account holder, understand that all information supplied by the undersigned will be subject to verification, and that the information on this application is correct. I (we) understand that you, MACC, have entered into an agreement with National Financial Services, LLC ("NFS")(a NYSE member firm) to execute and clear all brokerage transactions. NFS will provide margin loans if authorized. I (we) understand that neither you nor NFS provide investment advice in connection with this account nor do you give advice or offer any opinion with respect to the suitability of any security or order and that no fiduciary relationship exists. 2. Applicable Rules and Regulations. All transactions through you and NFS are subject to the constitution, rules, regulations, customs and usage of the exchange or market (and its clearing house, if any) where executed as well as to any applicable federal or state laws, rules and regulations. 3. Security Interest. All securities and other property now or hereafter held, carried or maintained by National Financial Services, LLC for any of the accounts of the undersigned, now or hereafter opened, including accounts in which the undersigned may have an interest, shall be subject to a lien for the discharge of all indebtedness and other obligations of the undersigned to you and are held by NFS as a security for the payment of any liability or indebtedness of the undersigned to you or NFS in any of the said accounts. You shall have the right to sell, assign or transfer securities and any other property so held by you from or to any other of the accounts of the undersigned whenever in your judgment you consider such a transfer necessary for your protection in enforcing your lien, you shall have the discretion to determine which securities and property are to be sold and which contracts are to be closed. No provision of this agreement concerning liens or security interests shall apply to the extent such application would be in conflict with any provisions of ERISA or the Internal Revenue Code relating to retirement accounts. 4. Payment Upon Demand. The undersigned shall at all times be liable for the payment upon demand of any debit balance or other obligations owning an any of the accounts of the undersigned, and the undersigned shall be liable to you for any deficiency remaining in any such accounts in the event of the liquidation thereof, in whole or in part, by you or by the undersigned; and the undersigned shall make payment of such obligations and indebtedness upon demand. All transactions in any of my (our) accounts are to be paid for or securities delivered not later than 2:00 p.m. Eastern Standard Time on the settlement date. I (we) agree that if after demand I (we) fail to pay the indebtedness, you may close my (our) account and liquidate the assets in my (our) account in an amount sufficient to pay my (our) indebtedness. 5. Liability for Costs of Collection. The reasonable costs and expenses of collection of the debit balance or any unpaid deficiency in the account of the undersigned including, but not limited to, attorney's fees, incurred and payable or paid by you shall be reimbursed by the undersigned. 6. Presumption of Receipt of Communications. Communications may be sent to the undersigned at the address of the undersigned or at such other address as the undersigned may hereafter give you in writing, and all communications so sent, whether by mail, telegraph, messenger or otherwise, shall be deemed given to the undersigned personally, whether actually received or not. Reports of executions or orders and statements of my account shall be conclusive of not objected to in writing within five (5) days and ten (10) days respectively after transmitted to me by mail or otherwise. 7. Affiliations. I (we) will not buy or sell any securities of a corporation which I (we) am (are) an affiliate or sell any restricted securities except in compliance with applicable laws and regulations and upon notice to you that the securities are restricted. 8. Extraordinary Events. You shall not be liable for loss caused directly or indirectly by war, acts of terrorism, natural disasters, government restrictions, exchange or market rulings or other conditions beyond your control, including but not limited to extreme market volatility or trading volumes. 9. Purchase of Precious Metals. I understand and acknowledge the following in regard to the purchase of precious metals: a) the Securities Investor Protection Corporation (SIPC) does not provide protection for precious metals; however, if stored through NFS, they are insured by the depository at market value; b) precious metals are not marginable; c) precious metals investments can involve substantial risk as prices can change rapidly and abruptly, therefore any advantageous purchase or liquidation price cannot be guaranteed; d) if I take delivery of my metals, I am subject to delivery charges and applicable sales and use taxes. 10. Credit Information. I understand that to verify my identity, federal law requires that MACC obtain my name, date of birth, residential and mailing addresses (if different), and an identification number ( the Required Information ) before opening my account, and that MACC may verify that information in accordance with applicable laws and regulations. Federal law also requires that MACC obtain the Required Information with respect to any owner(s) or other person(s) authorized to effect transactions on or added to an existing account. Modifications to the Required Information on an existing account may also be verified. I understand that my account may be restricted or closed if MACC cannot verify this information. Neither MACC, NFS, nor any NFS affiliate will be responsible for losses or damages (including but no limited to lost opportunity) resulting from any failure to provide this information, or from any restriction placed upon, or closing of, my account. Any information I provide to MACC and/or NFS may be shared with third parties for the purpose of validating my identity, may be subject to verification and may be shared for other purposes in accordance with NFS privacy policy. NFS or MACC may exchange credit information about me with others. I authorize MACC and/or NFS to obtain a credit report about me at any time. Upon written request, I will be provided the name and address of the credit reporting agency used. 11. Account Protection. Securities in accounts carried by NFS, a Fidelity Investments Company, are protected by the Securities Investor Protection Corporation ( SIPC ) up to $500,000 (including cash claims limited to $100,000). For details, please see NFS has arranged for additional unlimited insurance protection for cash and securities to supplement its SIPC coverage. Neither coverage protects against a decline in the market value of securities. 12. Joint Accounts. If this is a joint account, I refers to all account holders, and each of the account holders jointly and severally agrees that any account holder has authority on behalf of the joint account to: Buy, sell (including short sales) and otherwise deal in stocks, bonds, options and other eligible securities or other investments on margin or otherwise; Receive demands, notices, confirmations, reports, statements of account and communications of every kind on behalf of the joint account; Receive money, securities and property of every kind and dispose of the same on behalf of the joint account; Make arrangements relating to any of the foregoing matters and to terminate, modify or waive any of the provisions of the agreement on behalf of the joint account; and Deal with MACC as fully and completely as if s/he alone were interested in this account and without notice to the other account participants. All obligations and liabilities arising under this account are joint and several and may be enforced by MACC or NFS against any or all account holders. -3-
4 MACC is authorized to follow the instructions of any joint account holder, without notice to the other account holder, in every respect and to deliver any or all monies, securities or other property to any joint account holder upon the instructions of any joint account holder, or to any other person upon such instructions, even if such delivery or payment is to that joint account holder personally and not to the other(s). MACC will be under no obligation to inquire into the purpose or propriety of such delivery or payment and is not bound to inquire into the disposition or application of such delivery or payment. This authority remains in force until written notice to the contrary is addressed to MACC and delivered to its office. MACC, or NFS, in their sole discretion and for their sole protection, may terminate the account upon receipt of such notice any may require the written consent of all account holders prior to acting upon the instructions of any account holder NOTICE TO THE CUSTOMER ( YOU ): 13. Payment for Order Flow. MACC or NFS transmits customer orders for execution to various exchanges or market centers based on a number of factors. These include: size of order, trading characteristics of the security, favorable execution prices (including the opportunity for price improvement), access to reliable market data, availability of efficient automated transaction processing and reduced execution costs through price concessions from the market centers. Certain of the market centers may execute orders at prices superior to the publicly quoted market in accordance with their rules or practices. While a customer may specify that an order be directed to a particular market center for execution*, the order-routing policies, taking into consideration all the factors listed above, are designed to result in favorable transaction processing for customers. MACC and/or NFS may receive remuneration, compensation or other consideration for directing customer orders for equity securities to particular broker-dealers or market centers for execution. Such consideration may take the form of financial credits, monetary payments or reciprocal business. *Please note: Orders placed through any telephone, electronic or on-line trading system cannot specify a particular market center for execution. 14. Account Administration. New York Stock Exchange Rule 382 requires that MACC and NFS allocate between them certain functions regarding the administration of your brokerage account. The following is a summary of the allocation services performed by each. A more complete description is available upon request. MACC is responsible for (1) obtaining and verifying brokerage account information and documentation, (2) opening, approving, and monitoring your brokerage account, (3) transmitting timely and accurate instructions to NFS with respect to your brokerage account, (4) determining the suitability of investment recommendations and advice, (5) operating and supervising your brokerage account and its own activities in compliance with applicable laws and regulations, including compliance with margin rules pertaining to your account (if applicable), and (6) maintaining the required books and records for the services it performs. NFS shall perform the following tasks at the direction of MACC: (1) execute, clear and settle transactions processed through NFS by MACC, (2) prepare and send transaction confirmations and periodic statements of your brokerage account (unless MACC has undertaken not to do so). Certain pricing and other information may be provided by MACC or obtained from third parties, which has not been verified by NFS, (3) act as custodian for funds and securities received by NFS on your behalf, (4) follow the instructions of MACC with respect to transactions and the receipt and delivery of funds and securities for your brokerage account, and (5) extend margin credit for purchasing or carrying securities on margin. MACC is responsible for ensuring that your brokerage account is in compliance with federal, industry, and NFS margin rules, and for advising you of margin requirements. NFS shall maintain the required books and records for the services it performs. 15. This Agreement and its enforcement shall be governed by the laws of the Commonwealth of Pennsylvania; shall cover individually and collectively all accounts which the undersigned may open or reopen with you, and shall inure to the benefit of your successors, whether by merger, consolidation, or otherwise, and assigns and you may transfer the account of the undersigned to your successors and assigns, and this Agreement shall be binding upon heirs, executors, administrators, successors and assigns of the undersigned. Resolving Disputes Arbitration This agreement contains a pre-dispute arbitration clause. Under this clause, which becomes binding on all parties when you sign your account application, you, MACC, and NFS agree as follows: A. All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. B. Arbitration awards are generally final and binding;; a party s ability to have a court reverse or modify an arbitration award is very limited. C. The ability of the parties to obtain documents, witness statements, and other discovery is generally more limited in arbitration than in court proceedings. D. The arbitrators do not have to explain the reason(s) for their award unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. E. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. F. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. G. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. All controversies that may arise between you, MACC and NFS concerning any subject matter, issue or circumstance whatsoever (including, but not limited to, controversies concerning any account, order or transaction, or the continuation, performance, interpretation or breach of this or any other agreement between me, You and NFS whether entered into or arising before, on or after the date this account is opened) shall be determined by arbitration in accordance with the rules then prevailing of the Financial Industry Regulatory Authority (FINRA) or any United States securities self-regulatory organization or United States securities exchange of which the person, entity or entities against whom the claim is made is a member, as I may designate. If I designate the rules of a United States self-regulatory organization or United States securities exchange and those rules fail to be applied for any reason, then I shall designate the prevailing rules of any other United States securities self-regulatory organization or United States securities exchange of which the person, entity or entities against whom the claim is made is a member. If I do not notify You in writing of my designation within five (5) days after such failure or after I receive from You a written demand for arbitration, then I authorize You and/or NFS to make such designation on my behalf. The designation of the rules of a United States self-regulatory organization or United States securities exchange is not integral to the underlying agreement to arbitrate. I understand that judgment upon any arbitration award may be entered in any court of competent jurisdiction. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action; or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (i) the class certification is denied; or (ii) the class is decertified; or (iii) the customer is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. -4-
5 Mid Atlantic Capital Corporation s Business Continuity Plan Mid Atlantic Capital Corporation has developed a business continuity plan describing our response to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we must be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan. Contacting Us If after a significant business disruption at your branch you cannot contact your representative as you usually do, you should call our corporate offices at If after a significant business disruption at our corporate offices you cannot contact us as you usually do, you should call your branch office. If you cannot access us through either of those means, you should contact our clearing firm, National Financial Services LLC, at for instructions on how it may provide prompt access to funds and securities, enter trade orders, or process other trade-related, cash, and security transfer transactions for you. Our Business Continuity Plan We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities during a period of business disruption. Our clearing firm, National Financial Services LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to continue its own operations from an alternate site and be able to complete existing transactions and accept new transactions and payments barring events beyond their control, such as when the market was closed following the September 11 tragedy. Your orders and requests for funds and securities could be delayed during this period. Varying Disruptions Significant business disruptions can vary in their scope, such as impacting only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 2 to 3 days. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 3 to 5 days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer s prompt access to their funds and securities. For more information If you have questions about our business continuity planning, or to receive a copy of this disclosure by mail, please contact us at 1251 Waterfront Place, Suite 510, Pittsburgh, PA or info@macg.com. PAY FOR ORDER FLOW NOTIFICATION Mid Atlantic Capital Corporation ( MACC ), as agent, may send certain equity orders to exchanges, electronic communication networks or broker-dealers. Some of these market centers may provide payments to MACC or charge access fees depending upon the characteristics of the order and any subsequent execution. The details of these payments and fees are available upon written request. Absent specific instructions from the customer, MACC transmits orders for execution based on the market centers ability to execute at or better than the national best bid and offer. MACC automatically routes orders to market centers that MACC has determined can provides consistent high quality executions, based on price, service, accessibility and speed of execution.
6 MID ATLANTIC CAPITAL CORPORATION SERVICE FEE SCHEDULE Fees are subject to change.
2A. Investment Objective Definitions. Capital Preservation - a conservative investment strategy characterized by a desire to avoid risk of loss;
CUSTOMER ACCOUNT AGREEMENT This Customer Account Agreement (the Agreement ) sets forth the respective rights and obligations of Apex Clearing Corporation ( you or your or Apex ) and the Customer s (as
More informationBefore You Begin. INSTRUCTIONS Trading Authority Form
INSTRUCTIONS Trading Authority Form Use this form to: grant trading authority to an authorized agent (someone who is not an account owner) remove or replace authorized agents update information on an authorized
More informationRev. 5/25/10 Page 1 of 4
PMA Securities, Inc. Institutional Brokerage Account Agreement 1. Provision of Services: To open a Brokerage Account ( Brokerage Account ) at PMA Securities, Inc. ( PMA, we, our or us ), you as the Applicant
More informationPlease also complete and sign the attached Disclosure and Authorization Form as well as the W9 (or W8 if a foreign citizen).
STOCK USA EXECUTION SERVICES, INC. BROKERAGE ACCOUNT APPLICATION FOR INDIVIDUAL AND JOINT ACCOUNTS (Account carried with Electronic Transaction Clearing, Inc.) Important information. To help the government
More informationNEW ACCOUNT APPLICATION AND AGREEMENT PLAN LEVEL ACCOUNTS
Mid Atlantic Capital Corporation The Times Building 336 Fourth Avenue Pittsburgh, PA 15222 412-391-7077 Fax: 412-391-2207 General Information: NEW ACCOUNT APPLICATION AND AGREEMENT PLAN LEVEL ACCOUNTS
More informationPRIME BROKERAGE CLEARANCE SERVICES AGREEMENT SIA FORM 151
Legent Clearing Account Number PRIME BROKERAGE CLEARANCE SERVICES AGREEMENT SIA FORM 151 1 LC12 07/05 Customer Agreement for Prime Brokerage Clearance Services: Customer Name: Account Number: This Agreement
More informationMargin Agreement. Account Number: To: APEX CLEARING CORPORATION AND, To: FIRSTRADE SECURITIES INC.
Margin Agreement To: APEX CLEARING CORPORATION AND, To: FIRSTRADE SECURITIES INC. Account Number: 1. I agree as follows with respect to the margin account I have opened with you for the purchase and sale
More informationOption Account Application and Agreement
and Agreement Corporate and Institutional Accounts Please provide/complete the following: Customer Information page 2 Financial Information page 2 Investment Objectives and Experience page 2 Desired Trading
More informationOption Account Application and Agreement
Option Account Application and Agreement Individual, Joint and Trust Accounts Instructions Please provide/complete the following: Customer Information page 2 Financial Information page 2 Investment Objectives
More informationLek Securities Corporation. Agreement for Prime Broker Clearing Services
Lek Securities Corporation Agreement for Prime Broker Clearing Services This Agreement by and between Lek Securities Corporation ( LSC ), on its own behalf or on behalf of its Correspondent firm for which
More informationAccount Opening Disclosures
Account Opening Disclosures Arbitration of Disputes Your agreement contains a pre-dispute arbitration clause. By signing an arbitration agreement the parties agree as follows: a) All parties to this agreement
More informationCEROS CUSTOMER AGREEMENT SUPPLEMENT Accounts Managed by Unaffiliated Investment Advisers
CEROS CUSTOMER AGREEMENT SUPPLEMENT Accounts Managed by Unaffiliated Investment Advisers This Customer Agreement Supplement ( Agreement ) is for customer accounts of Ceros Financial Services, Inc. ( Ceros
More informationSTANDARD OPTION AGREEMENT INSTITUTIONAL ACCOUNTS ONLY
To: Lek Securities Corporation ( LSC ): STANDARD OPTION AGREEMENT INSTITUTIONAL ACCOUNTS ONLY In connection with any transaction executed by you on our behalf for the purchase and sale of put and call
More informationINVESTMENT ADVISORY AGREEMENT For Advisory Clients of Jim Bell
MEMBER FINRA & SIPC 16660 Dallas Parkway, Suite 2200 Dallas, Texas 75248 INVESTMENT ADVISORY AGREEMENT For Advisory Clients of Jim Bell This INVESTMENT ADVISORY AGREEMENT ( Agreement ) is entered into
More informationINVESTMENT ADVISORY MANAGEMENT AGREEMENT
INVESTMENT ADVISORY MANAGEMENT AGREEMENT This Investment Advisory Agreement ( Agreement ) is entered into this day of, 20, by and between Rockbridge Asset Management, LLC ( Rockbridge ), a Registered Investment
More informationNEW ACCOUNT APPLICATION
NEW ACCOUNT APPLICATION ACCOUNT NUMBER BRANCH NUMBER I (We) would like to open a brokerage account with you ( my broker ). I understand that you have designated Apex Clearing Corporation ( Clearing Firm
More informationUBS Financial Services Inc. DC Advisory Consulting Services Agreement
. DC Advisory Consulting Services Agreement This agreement ( Agreement ) describes the consulting services provided in the DC Advisory program ( DC Advisory ), an investment advisory service of. (the Firm,
More informationBROKERAGE ACCOUNT CUSTOMER AGREEMENT
BROKERAGE ACCOUNT CUSTOMER AGREEMENT This is the agreement for your brokerage account. It describes the features and policies associated with the account. Please review this document and keep it for your
More informationAdvisory AgreementAdvisory Agreement
Advisory AgreementAdvisory Agreement This Advisory Agreement ( Agreement ), made this day of, 20 between the below signed party(s) (hereinafter referred to as the Client ), and Phalanx Wealth Management,
More informationCUSTOMER OPTION AGREEMENT
CUSTOMER OPTION AGREEMENT In connection with any transactions in options which have been or may be purchased, sold, exercised or endorsed for the undersigned's account with the introducing broker, AOS,
More informationPROCASH PLUS TM ACCOUNT AGREEMENT
PROCASH PLUS TM ACCOUNT AGREEMENT 3-05 AGR-PCP-3-05 PROCASH PLUS ACCOUNT AGREEMENT KEEP A COPY FOR YOUR RECORDS. This is a copy of your Customer Agreement with Pershing LLC ( Pershing ). To: Pershing LLC
More informationBiller is the person or entity to which you wish a bill payment to be directed or from which you receive electronic bills, as the case may be.
SERVICE DEFINITIONS Service means the Bill Payment Service offered by Edward Jones through Fiserv, Inc.. Agreement means the Terms and Conditions of the bill payment service. Biller is the person or entity
More informationInvestment Advisory Agreement
This Investment Advisory Agreement ( Agreement ) is entered into by and between ( Client ), SPC Financial (SPC) a U.S. Securities & Exchange Commission ( SEC ) Independent Registered Investment Adviser,
More informationTIAA-CREF SELF-DIRECTED BROKERAGE ACCOUNT CUSTOMER ACCOUNT AGREEMENT For Use Within an Employer-Sponsored Retirement Plan
TIAA-CREF SELF-DIRECTED BROKERAGE ACCOUNT CUSTOMER ACCOUNT AGREEMENT For Use Within an Employer-Sponsored Retirement Plan JUNE 2011 This Self-Directed Brokerage Account Customer Agreement ( Agreement )
More informationTerms and Conditions of Your Cash and Margin Accounts PERSHING ADVISOR SOLUTIONS LLC
of Your Cash and Margin Accounts Overview This document outlines the terms and conditions that apply to the Account Application and Agreement among you, Pershing LLC (Pershing), and Pershing Advisor Solutions
More informationBrokerage Account Application
Brokerage Account Application Complete and return to: Ceros Financial Services, Inc 1445 Research Blvd., Suite 530 Rockville, MD 20850 Account Number Rep Code Rep Code #2 1. Account Holder Information:
More informationI N V E S T M E N T A D V I S O R Y A G R E E M E N T
I N V E S T M E N T A D V I S O R Y A G R E E M E N T AGREEMENT, made this day of, 20 between the undersigned party,, whose mailing address is (hereinafter referred to as the CLIENT ), and TRADEWINDS CAPITAL
More informationBMA ADVISORS, LLC Investment Advisory Agreement
BMA ADVISORS, LLC Investment Advisory Agreement 608 Silver Spur Road, Suite 100, Rolling Hills Estates, CA 90274 This agreement describes the relationship between BMA Advisors, LLC (hereinafter BMA ) and
More informationInteractive Brokers Hong Kong Agreement for Advisors Providing Services to Interactive Brokers Clients
Interactive Brokers Hong Kong Agreement for Advisors Providing Services to Interactive Brokers Clients This Agreement is entered into between Interactive Brokers Hong Kong Ltd ("IB") and the undersigned
More informationBrokerage Account Application (Non-IRA)
Brokerage Account Application (Non-IRA) One Beacon Street Boston, MA 02108-3102 (800) 822-2021 brownco.com For BrownCo Use Only: Account Number Instructions: Please complete in full and print clearly in
More informationAMERIPRISE BROKERAGE CLIENT AGREEMENT
Provide this form to the client. Do NOT send it to the Corporate Office. AMERIPRISE BROKERAGE CLIENT AGREEMENT 1. General Information. This Agreement contains Ameriprise Financial Services, Inc. Account
More informationTERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT 1. MODEL PORTFOLIOS PROGRAM
TERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT This Investment Advisory Client Agreement ( Agreement ) is entered into by and between Woodbury Financial Services, Inc., a registered
More informationINTRODUCING BROKER COMMODITY FUTURES CUSTOMER AGREEMENT WITH E*TRADE SECURITIES LLC
INTRODUCING BROKER COMMODITY FUTURES CUSTOMER AGREEMENT WITH E*TRADE SECURITIES LLC Re: Supplement to Commodity Futures Customer Agreement dated between MF Global, Inc ( MF Global ) and the customer named
More informationFinancial Planning/Consulting Services Agreement
Client s Name: Joint Client s Name: Investment Advisor Representative: Date of this Agreeement: Client and Joint Client (collectively Client ), Transamerica Financial Advisors, Inc. ( TFA ), an investment
More informationEmail: fullservicefa@interactivebrokers.com
Please fill out all of the applicable fields and send to Interactive Brokers by any of the methods below: Email: fullservicefa@interactivebrokers.com Courier/Overnight Service: Interactive Brokers LLC
More informationBCK Partners, Inc. COMPREHENSIVE FINANCIAL MANAGEMENT AGREEMENT
BCK Partners, Inc. COMPREHENSIVE FINANCIAL MANAGEMENT AGREEMENT AGREEMENT, made this day of 20, between the undersigned party (hereinafter referred to as the Client or You ) and BCK Partners, Inc., a Registered
More informationAdvisory Agreement: Asset Management Services
Advisory Agreement: Asset Management Services This Investment Advisory Services Agreement for asset management services ( Agreement ) is made by and between MyWealthyOptions LLC ( MWO or Adviser ), a registered
More informationAccount Agreement and Other Disclosures
Account Agreement and Other Disclosures Edward Jones Account Agreement Schedule of Fees Margin Disclosure Statement and Statement of Credit Terms Privacy Notice Revenue Sharing Disclosure LGL-7762A-A www.edwardjones.com
More informationCherry Hills Investment Advisors INVESTMENT ADVISORY CONTRACT
Cherry Hills Investment Advisors INVESTMENT ADVISORY CONTRACT THIS INVESTMENT ADVISORY CONTRACT (this Agreement ) is made as of the Effective Date (defined below), between, whose address is and whose email
More informationCLS Investments, LLC Instructions for the Solicitor Application and Agreement
CLS Investments, LLC Instructions for the Solicitor Application and Agreement Please complete all fields on page 1 of the Solicitor Application and Agreement. Some general guidelines are set forth below.
More informationVERSION 6.23.15 QUANTUM FINANCIAL ADVISORS
VERSION 6.23.15 Q F A NON- D I S C R E T I O N A R Y I A A G R E E M E N T ( D C ) QUANTUM FINANCIAL ADVISORS N O N D I S C R E T I O N A R Y I N V E S T M E N T A D V I S O R Y A G R E E M E N T THIS
More informationSECURITIES AMERICA INC. CUSTOMER AGREEMENT FOR NATIONAL FINANCIAL PREMIERE SELECT ACCOUNTS. Terms and Conditions
SECURITIES AMERICA INC. CUSTOMER AGREEMENT FOR NATIONAL FINANCIAL PREMIERE SELECT ACCOUNTS Terms and Conditions 1 1.830486.108 476841.9.0 (01/14) [SAI 34-671 4/2014] Customer Agreement To my Broker/Dealer
More informationPower of Attorney for Charles Schwab Brokerage Accounts and Schwab Bank High Yield Investor Checking Accounts
Power of Attorney for Charles Schwab Brokerage Accounts and Schwab Bank High Yield Investor Checking Accounts www.schwab.com 1-800-435-4000 (inside the U.S.) +1-415-667-8400 (outside the U.S.) 1-888-686-6916
More informationEasy Application Form
Member FINRA/SIPC Easy Application Form INDIVIDUAL ACCOUNT APPLICATION FUNDING YOUR ACCOUNT Enclosed is my check for: $ ACCOUNT HOLDER Full Legal Name Make check payable to: Firstrade Securities Inc. SSN
More informationDOGPATCH CAPITAL WeALTH & InvesTmenT management
DOGPATCH CAPITAL Wealth & Investment Management INVESTMENT ADVISORY AGREEMENT Dogpatch Capital LLC ( Advisor ), an investment Advisor domiciled in the State of California, agrees to act as an investment
More informationFINANCIAL PLANNING CLIENT AGREEMENT
FINANCIAL PLANNING CLIENT AGREEMENT This Financial Planning Agreement ( Agreement ) is entered into by and among LPL Financial Corporation ( LPL ), a registered investment advisor, the LPL Investment Adviser
More informationASSET MANAGEMENT AGREEMENT. Focused Wealth Management, Inc. 216 Route 299, Suite 5 Highland, NY 12528 (845) 691-4035
ASSET MANAGEMENT AGREEMENT Focused Wealth Management, Inc. 216 Route 299, Suite 5 Highland, NY 12528 (845) 691-4035 This Agreement (hereinafter referred to as Agreement) is made and entered into by and
More informationLPL MASTER -- ACCOUNT AGREEMENT
In consideration of your clearing firm, your broker/dealer, or LPL Financial ( LPL ) agreeing to open one or more accounts for you, you hereby understand, acknowledge and agree as follows: THE ROLE OF
More informationCustomer Information Brochure
Customer Information Brochure Customer Agreement and Information Brochure Southwest Securities, Inc., ( SWST ), a Member Firm of the New York Stock Exchange (NYSE), the National Association of Securities
More informationINVESTMENT ADVISORY AGREEMENT
INVESTMENT ADVISORY AGREEMENT Equity Planning Group, Inc. 7035 Orchard Lake Road, Suite 700 West Bloomfield, Ml 48322 (248) 932-4600 - Fax (248) 932-4610 Equity Planning Group, Inc. Registered Investment
More informationHOOVER FINANCIAL ADVISORS, PC FINANCIAL PLANNING AND CONSULTING AGREEMENT
FINANCIAL PLANNING AND CONSULTING AGREEMENT This financial planning and/or consulting agreement ( Agreement ) made as of the day of, 2016 between the undersigned party, ( Client ), the Investment Advisory
More informationVorpahl Wing Securities, Inc. Assets Management Agreement
Vorpahl Wing Securities, Inc. Assets Management Agreement Account : Account # IAR # This Assets Management Agreement together with the Schedules attached hereto, (collectively the Agreement ), is by and
More informationBasic Brokerage Account Disclosure
Basic Brokerage Account Disclosure INTRODUCTION This is your Client Agreement ("Agreement"). It is the contract that contains the terms and conditions governing the securities account ("Account") you have
More information2 Provide account holder information (Please attach necessary documents.)
Brokerage Account 1 Specify type of account ownership (Please attach necessary documents.) ( Minimum opening balance of $1,000 in cash and/or securities is required.) Select the type of account ownership:
More informationSchwab Intelligent Portfolios Advisory Agreement Page 1 of 5
Schwab Intelligent Portfolios Advisory Agreement Page 1 of 5 This advisory agreement ( Agreement ) is between Schwab Wealth Investment Advisory, Inc. ( SWIA ) and each person named as an Account Holder
More informationSchwab IRA Account Application
Schwab IRA Account Application $1,000 minimum deposit required to open an account, or if you establish a monthly transfer of at least $100 through either Direct Deposit or Schwab MoneyLink (excluding SEP-IRA
More informationACCOUNT AGREEMENT. Terms and Conditions
ACCOUNT AGREEMENT Marsco Investment Corporation 101 Eisenhower Parkway Roseland, NJ 07068 Member FINRA/SIPC www.marsco.com 1-800-962-7726 Fax: 973-228-9762 Terms and Conditions Introduction and Definitions
More informationClient Information Worksheet
Client Information Worksheet Account Name: Address: Email: City/State/Zip: Social Security No.: Date of Birth: Home Tel No: Business/Cell Tel No: Employer s Name: Employer s Address: Spouse s Name: Date
More informationAntonio Gastelum, Inc. INVESTMENT MANAGEMENT AND ADVISORY AGREEMENT ( Agreement )
Antonio Gastelum, Inc. INVESTMENT MANAGEMENT AND ADVISORY AGREEMENT ( Agreement ) Management and Advisory Agreement This Investment Management and Advisory Services ( Advisory Services ) Agreement dated
More informationGlobal Stock Plan Services ( GSPS ) Website Terms & Conditions
Welcome to the Morgan Stanley GSPS Website (the "Site"). The following Terms and Conditions govern your use of the Site. These Terms and Conditions were last modified in November 2014. These Terms and
More informationINVESTMENT ADVISORY AGREEMENT
INVESTMENT ADVISORY AGREEMENT This Agreement is between the undersigned individual or entity ( Client ) and Van Meter Associates, LLC ( Adviser ). The parties agree as follows: 1. Appointment of Manager.
More informationINVESTMENT ADVISORY AGREEMENT
Wealth through ingenuity. INVESTMENT ADVISORY AGREEMENT AGREEMENT, made this day of, 20 between the undersigned party,, whose mailing address is (hereinafter referred to as the CLIENT ), and CMG CAPITAL
More informationCONTRIBUTION AGREEMENT of INCROWD ALABAMA FUND I, LLC
CONTRIBUTION AGREEMENT of INCROWD ALABAMA FUND I, LLC INSTRUCTIONS TO INVESTORS EACH PROSPECTIVE INVESTOR IN INCROWD ALABAMA FUND I, LLC (THE COMPANY ) SHOULD EXAMINE THE SUITABILITY OF THIS TYPE OF INVESTMENT
More informationCustomer Information Brochure
Customer Information Brochure Customer Agreement and Information Brochure Southwest Securities Inc. ( SWST ), a Member Firm of the New York Stock Exchange (NYSE), the National Association of Securities
More informationUBS GLOBAL ASSET MANAGEMENT PRIVATE WEALTH SOLUTIONS SM PROGRAM CUSTODY AND EXECUTION AGREEMENT WITH UBS FINANCIAL SERVICES INC.
UBS GLOBAL ASSET MANAGEMENT PRIVATE WEALTH SOLUTIONS SM PROGRAM CUSTODY AND EXECUTION AGREEMENT WITH UBS FINANCIAL SERVICES INC. THIS CUSTODY AND EXECUTION AGREEMENT ( Agreement ) describes the securities
More informationCustomer Agreement. Cetera Financial Specialists LLC P.O. Box 968009, Schaumburg, IL 60196. Page 1 of 16
Customer Agreement Cetera Financial Specialists LLC P.O. Box 968009, Schaumburg, IL 60196 This Agreement contains important terms and conditions that apply to your Cetera Financial Brokerage Services*
More informationNew Account Form/Application
New Form or Updated Form Advisory Account Clearing Account Representative # BD Account # (HO Use Only) Clearing Firm Account # New Account Form/Application ACCOUNT REGISTRATION (*include additional paperwork
More informationLimited Power of Attorney (LPOA)
Limited Power of Attorney (LPOA) Page 1 of 3 Investment Advisor ( IA ) Information (This portion to be completed by IA.) IA Firm Name (Please print.) IA Master Account Number Service Team Advisor Contact
More informationPROOF OF CLAIM AND RELEASE
Must Be Postmarked No Later Than November 6, 2015 In re Delcath Systems, Inc Securities Litigation c/o Garden City Group, LLC PO Box 10189 Dublin, OH 43017-3189 1-888-470-0243 wwwdelcathsecuritieslitigationcom
More informationSCHOLARSHARE COLLEGE SAVINGS PLAN (529 PLAN) ACCOUNT APPLICATION
SCHOLARSHARE COLLEGE SAVINGS PLAN (529 PLAN) ACCOUNT APPLICATION Please complete this application to establish a 529 Plan account with Fidelity Investments. One application must be submitted for each account
More informationHOURLY CONSULTING AGREEMENT
4245 Kemp Blvd., Suite 1007 Wichita Falls, Texas 76308 HOURLY CONSULTING AGREEMENT This is an agreement between Personal Money Planning ( Advisor ), and ( Client ). By this agreement, Client retains Advisor
More informationFederal Tax ID # Employer ID# Credit Amount Requested: $ NOTE: Signed original application must be on file to activate your account.
Application for Credit Unless the applicant is a public corporation, please attach the applicant s most recent financial statements to expedite credit approval. Please complete this form, read and initial
More informationNational Stock Exchange, Inc. Waive-In Equity Trading Permit Holder Application
National Stock Exchange, Inc. Waive-In Equity Trading Permit Holder Application Equity Trading Permit Holders ( ETP Holders ) of the National Stock Exchange, Inc. ( NSX ) in good standing as of May 30,
More informationINVESTMENT ADVISORY AGREEMENT
INVESTMENT ADVISORY AGREEMENT 1150 Bob Courtway Dr. Suite 50 Conway, AR 72032 This Investment Advisory Agreement made and entered into this Day of,20 by (Client). Client hereby agrees to engage Veritas
More informationIndividual Account Joint Account Custodian Account Trust Account
Individual Account Joint Account Custodian Account Trust Account If you would like to open an Individual Account, Joint Account, Custodial Account (for minors), or Trust Account, the following forms must
More informationTIAA-CREF Brokerage Account Customer Agreement
Brokerage accounts are provided by TIAA-CREF Brokerage Services, a division of TIAA-CREF Individual & Institutional Services, LLC, member FINRA and SIPC, and are carried by Pershing LLC ( Pershing ), members
More informationLLC, DO NOT USE THESE FORMS.
Opening an Investment Club account is easy. Simply complete and fax (866-699-0563) or mail us this form. Then, if you have not done so already, create a Username and a Password at www.tradeking.com to
More informationPROOF OF CLAIM AND RELEASE FORM. Blitz v. AgFeed Industries, Inc. c/o Claims Administrator PO Box 3207 Portland, OR 97208-3207 Tel: 800-625-7675
Blitz v. AgFeed Industries, Inc. c/o Claims Administrator PO Box 3207 Portland, OR 97208-3207 A. GENERAL INSTRUCTIONS & INFORMATION PROOF OF CLAIM AND RELEASE FORM 1. You are urged to read carefully the
More informationPersonal Securities Account. Agreements and Disclosures
Personal Securities Account Agreements and Disclosures SIGNATURE SECURITIES Personal Securities Account Agreements & Disclosures Index INTRODUCTION Welcome...2 Contacts...2 SIGNATURE SECURITIES - Personal
More informationTerms & Conditions of Janney Montgomery Scott LLC Transfer on Death ( TOD ) Account Registration
Terms & Conditions of Janney Montgomery Scott LLC Transfer on Death ( TOD ) Account Registration Instructions: Carefully read the Terms & Conditions below and complete all applicable sections of the attached
More informationTRUE FINANCIAL WEALTH MANAGEMENT FIRM, LLC TM GENERAL FINANCIAL SERVICES BROCHURE* 224 Calle Diamante, Sedona, Arizona 86336 PART I of the ADV
TRUE FINANCIAL WEALTH MANAGEMENT FIRM, LLC TM GENERAL FINANCIAL SERVICES BROCHURE* 224 Calle Diamante, Sedona, Arizona 86336 PART I of the ADV The Firm True Financial Wealth Management Firm, LLC TM (Eileen
More informationNew Account Application Individual/Joint/Custodian
TradePMR Use Only: Sub Firm: 211 Account #: Open Date: RIA Firm: 1 Registration Type Account Type (Select only one): Individual New Account Application Individual/Joint/Custodian Joint Tenants with Rights
More informationSpark Advisors Advisory Agreement
Spark Advisors Advisory Agreement This Investment Advisor Agreement ( Agreement ) is by and between Spark Advisors, LLC ( Spark Advisors or Adviser ), a registered investment adviser, and the party electronically
More informationCLEARING MEMBERSHIP AGREEMENT
CLEARING MEMBERSHIP AGREEMENT DATED between LCH.CLEARNET LLC and LCH.CLEARNET LIMITED 17 State Street, 28th floor, New York, NY 10004 Telephone: +1 (212) 513-8282 Website: www.lchclearnet.com In consideration
More informationINVESTMENT ADVISORY AGREEMENT. Horizon Investments, LLC Lifetime Income Strategy
INVESTMENT ADVISORY AGREEMENT Horizon Investments, LLC Lifetime Income Strategy This agreement (the Agreement ) for investment management services is entered into by and between HORIZON INVESTMENTS, LLC
More informationPROOF OF CLAIM AND RELEASE FORM
A. GENERAL INSTRUCTIONS & INFORMATION PROOF OF CLAIM AND RELEASE FORM 1. You are urged to read carefully the accompanying Notice of Pendency of Class Action and Proposed Settlement, Settlement Fairness
More informationFULL THIRD PARTY AUTHORIZATION AND CERTIFICATION
FULL THIRD PARTY AUTHORIZATION AND CERTIFICATION In addition to completing this form, you must complete the following steps: 1. Provide a clear and legible copy of the authorized agent's government issued,
More informationCOVERDELL EDUCATION SAVINGS ACCOUNT
COVERDELL EDUCATION SAVINGS ACCOUNT Form 5305-EA (Revised March 2002) under Section 530 of the Internal Revenue Code The Depositor whose name appears on the Application is establishing a Coverdell Education
More informationINVESTMENT ADVISORY AGREEMENT
INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT is made on the Effective Date identified below by and between the investment advisors affiliated with BCG Securities, Inc. ( Advisor ),
More informationNON-DISCRETIONARY ADVISORY AGREEMENT
NON-DISCRETIONARY ADVISORY AGREEMENT THIS NON-DISCRETIONARY ADVISORY AGREEMENT is made by and between the undersigned (the Client ) and Values First Advisors, Inc. (the Advisor ). The Client hereby retains
More informationIn re Weatherford International Securities Litigation c/o GCG P.O. Box 10038 Dublin, OH 43017-6638 1-877-900-6750 PROOF OF CLAIM FORM
Must be Postmarked No Later Than August 19, 2014 In re Weatherford International Securities Litigation c/o GCG PO Box 10038 Dublin, OH 43017-6638 1-877-900-6750 WFD *P-WFD-POC/1* Claim Number: Control
More informationRETIREMENT ACCOUNT APPLICATION
Reset Form RETIREMENT ACCOUNT APPLICATION Account Number Open Date Broker Rep Code Retirement Account Type Please select the type of account you would like to open (choose one): Traditional IRA Rollover
More informationBANK DEPOSIT SWEEP PROGRAM (BDSP SM ) DISCLOSURE DOCUMENT
BANK DEPOSIT SWEEP PROGRAM (BDSP SM ) DISCLOSURE DOCUMENT Please read the complete Disclosure Document describing the Bank Deposit Sweep Program and your core account investment vehicle. You may consult
More informationOREGON BUSINESS DEVELOPMENT DEPARTMENT CREDIT ENHANCEMENT FUND INSURANCE PROGRAM LOAN INSURANCE AGREEMENT
OREGON BUSINESS DEVELOPMENT DEPARTMENT CREDIT ENHANCEMENT FUND INSURANCE PROGRAM LOAN INSURANCE AGREEMENT In consideration of the mutual undertakings set forth in this Agreement, ("Lender") and the State
More informationGENERAL INSTRUCTIONS
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK IN RE: SATYAM COMPUTER SERVICES LTD. SECURITIES LITIGATION No. 09-MD-2027-BSJ PROOF OF CLAIM AND RELEASE TO BE ELIGIBLE TO RECEIVE A SHARE OF
More informationINVESTMENT ADVISER REPRESENTATIVE AGREEMENT
INVESTMENT ADVISER REPRESENTATIVE AGREEMENT This investment adviser representative agreement ( Agreement ), made as of, 20, is between Partners for Prosperity, Inc., a Nevada corporation, with the principal
More informationSANDLAPPER Wealth Management, LLC. A SANDLAPPER company. Investment Management Agreement
800 E North Street 2 nd Floor Greenville, SC 29601 Investment Advisory Agreement Office/Advisor: / Account Number: This Agreement is entered into by and between: Client(s) (hereinafter referred to as you
More informationSOLICITOR APPLICATION
Date: / / SOLICITOR APPLICATION General Information Name: Birth Date: / / Office Address: City: State: Zip: E-mail address: Business phone: ( ) - Fax number: ( ) - Assistant s Name: Registered Investment
More informationRetirement Account Customer Agreement
Premiere Select Retirement Account Customer Agreement To my Broker/Dealer ( You ) and National Financial Services LLC ( NFS ), a Fidelity Investments company. In this document, NFS includes its officers,
More informationMargin Account Agreement
IMPORTANT TO READ This includes and incorporates by reference the Day-Trading Risk Disclosure Statement and the Truth-in-Lending Statement attached hereto (together, the Agreement ). Acknowledgments and
More information