TERMS AND CONDITIONS OF YOUR ADVISORY PROGRAM ACCOUNTS Clause Samples

This clause defines the rules and requirements that govern accounts enrolled in an advisory program. It typically outlines the services provided, the responsibilities of both the client and the advisor, and any fees or charges associated with the program. For example, it may specify how investment advice is delivered, how account performance is monitored, and what actions are required from the account holder. The core function of this clause is to ensure both parties understand their obligations and the scope of the advisory relationship, thereby promoting transparency and reducing the risk of misunderstandings.
TERMS AND CONDITIONS OF YOUR ADVISORY PROGRAM ACCOUNTS. When you open an Advisory Program Account, we will provide you with relevant Program Features and Disclosure Documents that apply to the specific Advisory Program that you selected. The Program Features are part of the Agreement and set forth additional terms and conditions applicable to the Advisory Program Account. The advisory services described herein are provided by a registered investment adviser (RIA), which may be the same entity as your Introducing Firm (in the case of a dual registrant), or may be a separate entity that is or is not affiliated with your Introducing Firm. References to the RIA shall include any affiliated Introducing Firm, with respect to the services provided to Advisory Program Accounts hereunder. ▇▇▇ has entered into an agreement with ▇▇▇▇▇ Fargo Clearing Services, LLC (“WFCS”) under which WFCS has agreed to provide certain advisory and/or other services to RIA with respect to the Advisory Program Accounts. WFCS is dually registered as an investment adviser and a broker-dealer and acts as clearing broker-dealer for the Introducing Firm. WFCS operates under the tradename “▇▇▇▇▇ Fargo Advisors” (or “WFA”) when acting as an investment adviser and broker-dealer and the tradename “First Clearing" when acting as a clearing broker- dealer. For ease of reference, WFCS will generally be referred to in this section as WFA regardless of the capacity in which it is operating. WFA will enter into agreements with sub- advisors from time to time under which the sub-advisors agree to manage, or provide model portfolios that WFA relies on to manage, the Advisory Program Accounts. WFA and the sub-advisors are collectively referred to herein as "Sub-Advisors." You agree that the Sub-Advisors are third party beneficiaries of this Agreement and that the terms and conditions hereof, shall be applicable to all matters between you and the Sub-Advisors. We may permit you, at our sole discretion, to move to certain Advisory Programs or change Sub-Advisors and/or target allocations without the need to open a new Advisory Program Account or sign a new Agreement. In such event, we will send you a confirmation letter reflecting your selection of the new Advisory Program. Based on your selection, delivery of the specific Program Features, which includes the advisory fees you will be charged for the Advisory Program, will serve to confirm your direction to retain RIA and/or the Sub-Advisor you have selected to manage your Advisory Program Account on a discret...
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