Investment Advisor Representative Agreement

Investment advisor representatives iars are individuals employed by or associated with an investment advisor who makes any recommendations or otherwise gives financial or investment advice. Investment advisory agreement page 4 first client s initials second client s initials multiple clients if this agreement is executed by more than one person gfm may accept directions from either one or the other.

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This agreement constitutes the entire agreement between the parties and each party hereto acknowledges to the other that it is not relying on any statement understanding or agreement not fully stated herein and each party hereby expressly waives any and all claims or defenses to enforcement of this agreement which are based on any statement understanding or agreement not fully stated herein.

Investment advisor representative agreement. Section 205 d of the investment advisers act defines an investment advisory contract as u201cany contract or agreement whereby a person agrees to act as an investment adviser to or to manage an investment or trading account of another person u2026 u201d. Representative successors in interest successor in trust and permitted assignees. This investment advisory agreement the agreement is dated as of the effective date by and between a the client and lc advisors llc a california limited liability company the advisor and a subsidiary of lendingclub corporation a delaware corporation lending club.

Registered representative investment advisor employment agreement. This agreement made as of this day of by and between multiple financial services inc a california corporation located at 111 pacifica suite 250 irvine ca 92618 the company and. This agreement supersedes and replaces any prior agreement between the parties.

This agreement agreement is made and entered into as of the date written below and by and between accelerated wealth advisors awa and iar investment advisor representative iar each a party and collectively the parties with regard to the following.

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