Employee IAR Agreement

EMPLOYEE IAR AGREEMENT

This Employee Investment Adviser Representative Agreement (Agreement) is made between Employer Name: and Employee Name: . Effective Date:

Personal Information

Position Information

Employment History

Employer 1

From:    To:

Employer 2

From:    To:

Education

References

Reference 1

Reference 2

Reference 3

Agreement Terms

1. Scope of Engagement. The Employee will serve as an Investment Adviser Representative (IAR) and will perform duties and responsibilities consistent with the Employee's title, including providing investment advice to clients, preparing suitability analyses, maintaining client relationships, and performing all functions required by applicable supervisory policies and federal and state securities laws and regulations.

2. Licensing, Registration and Compliance. Employee represents that Employee holds all licenses, registrations, and certifications required to act as an IAR. Employee shall promptly notify Employer in writing of any change in licensing or registration status, investigations, pled guilty or no contest pleas, or any event that could adversely affect Employee's ability to perform duties. Employee agrees to comply with all Employer written supervisory procedures, codes of ethics, and continuing education requirements.

3. Supervision and Reporting. Employee shall cooperate with supervisory reviews, examinations, and audits and shall provide complete and accurate records and responses when requested by Employer, its compliance officers, or authorized regulators. Employee acknowledges Employer's authority to modify duties, impose restrictions, or suspend advisory activities pending investigation.

4. Compensation and Expense Reimbursement. Compensation is as described in the Position Information section. Employer will reimburse reasonable business expenses incurred in the performance of duties in accordance with Employer policies and only upon submission of required documentation.

5. Confidentiality and Client Information. Employee shall not disclose proprietary Employer information, client lists, trade secrets, financial information, or personal data acquired in the course of employment except as required by law or with Employer authorization. All client files and records prepared or obtained by Employee in connection with services are Employer property.

6. Non-Solicitation; Non-Interference. For a period of 12 months following termination of employment for any reason, Employee shall not directly solicit or provide advisory services to clients of Employer with whom Employee had material contact, nor induce any employee or contractor of Employer to terminate their relationship with Employer, except as expressly permitted in a written agreement signed by Employer.

7. Conflicts of Interest; Disclosure. Employee shall disclose to Employer any material conflicts of interest and will follow Employer's conflict disclosure procedures. Employee will not accept outside advisory engagements, directorships, or consulting work that would materially interfere with Employee's duties unless Employer provides prior written consent.

8. Termination. Employment may be terminated by either party in accordance with Employer policies and applicable law. Employer may immediately restrict Employee's access to clients or systems if Employer determines there is a reasonable basis to suspect misconduct, regulatory breach, or threat to client interests.

9. Indemnification. To the extent permitted by law, Employer will indemnify and advance defense costs for Employee for actions taken in good faith within the scope of employment. Employee shall cooperate fully in the defense of any action covered by this provision.

10. Governing Law and Dispute Resolution. This Agreement is governed by the laws of the state specified by Employer's principal place of business. All disputes arising out of or relating to this Agreement shall be resolved by binding arbitration unless otherwise required by law, and legal fees shall be awarded as the arbitrator deems appropriate.

Legal Disclosures

At-Will Employment: Nothing in this Agreement is intended to create a guarantee of employment for any specific term. Employment is at-will and may be terminated by either party at any time, with or without cause, unless modified by a separate written agreement signed by both parties.

Equal Employment Opportunity: Employer is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, genetic information, or any other status protected by applicable law.

Background Check, Authorization and Certifications

Applicant Authorizations: Employee authorizes Employer to obtain consumer and investigative background checks, verify employment and education history, contact references, and request information from licensing and regulatory authorities. Employee certifies that all information provided to Employer is true, complete, and accurate.

Consent to Background Check: I consent to the background checks and verifications described above.

Certification: I certify that the information contained in this Agreement and in any accompanying statements or documents is true and complete. I understand that any material misrepresentation or omission may result in denial of employment or immediate termination.

Acknowledgment and Signature

By signing below, the parties acknowledge they have read, understand, and agree to the terms of this Employee IAR Agreement and that the representations and authorizations contained herein are true and complete.

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