Fill and Sign the Agreement to Provide Financial Planning Advisory Services Form

Agreement to Provide Financial Planning Advisory Services Agreement made on the _____________________ (date) , between ________________ (Name of Client) of ____________________________________________________________ ___________ (street address, city, county, state, zip code), referred to herein as Client, and _________________________ (Name of Advisor), a corporation organized and existing under the laws of the state of ______________, with its principal office located at ________________ ____________________________________________________________________________ (street address, city, county, state, zip code), referred to herein as Advisor. Whereas, Client wishes to retain Advisor to act as Client’s financial planner and advisor in accordance with the terms and conditions of this Agreement;Now, therefore, for and in consideration of the mutual covenants contained in this agreement, and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties agree as follows: I. Client's Responsibility: Client does hereby agree to: A. Complete the Advisor's Data Gathering Form, initially and from time to time as requested.B. Provide all documents and information requested by Advisor when possible. C. Authorize third parties to disclose Client's confidential information to Advisor when necessary.D. Provide Advisor with written authorization whenever Client wishes Advisor to disclose Client’s confidential information to third parties. E. Promptly Advisor promptly of changes in Client 's personal financial situation. F. Participate in review sessions annually, unless otherwise agreed, in order to update Client’s financial planning strategies and encourage Client’s other professional Advisors to participate in Client’s review sessions.II. TERM. This Agreement shall remain in force as long as mutually agreed to by Client and by Advisor. This Agreement may be terminated at any time, by either Client or by Advisor, for any reason, upon 30 days written notice to the other party. This Agreement may be modified upon such terms as may be mutually agreed upon in writing. This Agreement may be terminated without penalty upon written notice by either party. If termination occurs prior to the completion of agreed upon financial planning fees, Advisor fees will be prorated in an amount equal to the portion of the fee attributable to the unprovided services. III.CONFIDENTIALITY. All information furnished by Client to Advisor, including Client 's identity, shall be treated as confidential. Advisor agrees not to voluntarily disclose confidential information without Client's prior consent (unless required by law, court order or agency directive, or unless Advisor expects, in its reasonable opinion, that it will be compelled by a court or government agency, or unless such information becomes publicly available or known other than as a result of actions of Advisor ). In the event Advisor is compelled to disclose confidential information by legal process, Advisor will attempt to give prior written notice to Client. IV.FIDUCIARY DUTY. Advisor shall exercise its best professional judgment to act in good faith and in the best interests of Client. Advisor shall provide written disclosures to Client prior to the engagement of Advisor and thereafter throughout the term of the engagement, of any conflicts of interest which will or reasonably may compromise the impartiality or independence of Advisor. Advisor agrees to adhere to its written Investment Policy Statement, which presents the Client’s informed decisions about the tradeoffs between risk and return. Advisor agrees to use its best professional judgment to act in Client's best interestsV. DISCLOSURE/REPRESENTATIONS. Advisor represents that it is registered as Investment Advisor with the State of ______________under the Investment Advisors Act of 1940, as amended, and that its registration is currently effective. By executing this contract, Client acknowledges receipt of Advisor's current Form ADV, Part II not less than 48 hours prior to entering into the Agreement or, if provided at the time the Agreement is signed, the Client has the right to terminate the Agreement without penalty within 5 business days after entering into the Agreement.VII.GOVERNING LAW. The validity, interpretation, and performance of this Agreement shall be governed by and construed under the laws of the State of _____________ as long as the state law does not conflict with federal securities laws.VIII.FEE ARRANGEMENT Advisor is a fee-only financial planning services firm that charges fees based on the amount of time required to meet the scope of engagement defined by the Client and the Advisor. Advisor agrees to restrict its compensation solely and exclusively to the professional fees it receives directly from its Clients for professional financial planning Advisory services rendered to its Clients. Advisor will not be compensated based upon Client Assets and will not be compensated on the basis of a share of Capital Gains or Capital Appreciation of Client Assets. Neither Advisor nor any party associated with Advisor receives any compensation or other remuneration that is contingent on any Client purchase or sale of a financial product. Advisor does not receive a fee or other compensation from another party based on referral of Client or Client’s business. Unless otherwise agreed, as compensation for the financial planning Advisory services provided by Advisor, the following fee schedule will apply: (give a table of fees)_____________________________________________________ ____________________________________________________________________________.IX. INDEMNITIES. Client acknowledges that Advisor's recommendations involve some degree of risk. Advisor will give Client the benefit of Advisor ’s continuing study of economic conditions, security markets, and other investment issues. X.Client acknowledges that Advisor does not furnish actuarial, accounting, tax, or legal advice. Advisor is not a law firm, does not practice law, and cannot and does not furnish legal or tax opinions. Advisor is not an accounting firm, does not practice accounting or auditing, and cannot and does not prepare tax returns or audited financial statements. Advisor is not an actuarial firm, does not provide actuarial advice, and cannot and does not administer retirement plans. Client should retain, separately, Client's own attorneys, accountants, and other financial services professionals. Client agrees that Client's own attorneys, accountants and other financial services professionals shall be solely responsible for the accuracy of legal advice, legal opinions, legal documents, accounting documents, tax opinions and tax returns. XI.Client acknowledges that Advisor is not responsible for the accuracy or completeness of information furnished to Advisor by Client or by any other party. The federal securities laws impose liabilities under certain circumstances on persons who do not act in good faith. Nothing herein shall in any way constitute a waiver or limitation of any rights which Client or Advisor may have under any federal securities laws.XII. No Waiver The failure of either party to this Agreement to insist upon the performance of any of the terms and conditions of this Agreement, or the waiver of any breach of any of the terms and conditions of this Agreement, shall not be construed as subsequently waiving any such terms and conditions, but the same shall continue and remain in full force and effect as if no such forbearance or waiver had occurred. XIII. Notices Any notice provided for or concerning this Agreement shall be in writing and shall be deemed sufficiently given when sent by certified or registered mail if sent to the respective address of each party as set forth at the beginning of this Agreement. XIV. Mandatory Arbitration Any dispute under this Agreement shall be required to be resolved by binding arbitration of the parties hereto. If the parties cannot agree on an arbitrator, each party shall select one arbitrator and both arbitrators shall then select a third. The third arbitrator so selected shall arbitrate said dispute. The arbitration shall be governed by the rules of the American Arbitration Association then in force and effect. XV. Entire Agreement This Agreement shall constitute the entire agreement between the parties and any prior understanding or representation of any kind preceding the date of this Agreement shall not be binding upon either party except to the extent incorporated in this Agreement. XVI. Modification of Agreement Any modification of this Agreement or additional obligation assumed by either party in connection with this Agreement shall be binding only if placed in writing and signed by each party or an authorized representative of each party. XVII. Assignment of Rights The rights of each party under this Agreement are personal to that party and may not be assigned or transferred to any other person, firm, corporation, or other entity without the prior, express, and written consent of the other party. WITNESS our signatures as of the day and date first above stated. ______________________________ (Name of Advisor) ________________________ By: _________________________ (Printed name) ____________________________ (Printed name & Office in Corporation) __________________________ ___________________________(Signature of Client) (Signature of Officer)