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LEGAL

Advisor Use Agreement

WEALTH RECON ADVISOR USE AGREEMENT Version 2.0 Effective Date: The date this Agreement is electronically signed. Parties and Recitals This Advisor Use Agreement (the "Agreement") is entered into between Wealth Recon LLC, an Illinois limited liability company, with its principal notice address published in the Service (referred to as "Wealth Recon," "we," "our," or "us"), and the individual identified in the signature block below (referred to as "Advisor," "you," or "your"). Advisor signs this Agreement as part of the Wealth Recon signup process, in addition to accepting the Wealth Recon Terms of Service (the "Terms of Service"). The full legal name and notice address of the Wealth Recon contracting entity are displayed to Advisor in the signing flow and are captured in the electronic signature record at the time Advisor signs. Wealth Recon offers a business-to-business research and information product that supports licensed financial professionals in researching prospective and existing clients. Advisor desires to access the Service for the permitted business purposes set out in this Agreement. The parties enter this Agreement to govern Advisor specific obligations in addition to, and consistent with, the Terms of Service.

  1. Electronic Records Disclosures and Consent (ESIGN and UETA) Before Advisor consents to use electronic signatures and electronic records, Advisor reads the following disclosures, which are provided to satisfy the federal Electronic Signatures in Global and National Commerce Act, fifteen United States Code section seven thousand one and following, and the Illinois Uniform Electronic Transactions Act. • Scope of consent. Advisor consents to the use of electronic signatures and electronic records for this Agreement, the Terms of Service, the Privacy Policy, any related order or plan documents, all notices, disclosures, and consents Wealth Recon provides in connection with the Service, and any future modification, renewal, or restatement of these documents. • Right to receive paper copies. Advisor may request a paper copy of any electronic record at no charge by sending a written request to the notice address published in the Service. A request for a paper copy does not, by itself, withdraw consent to electronic delivery. • Right to withdraw consent. Advisor may withdraw consent to electronic delivery at any time by sending a written notice to the notice email address published in the Service identifying Advisor account and stating that Advisor withdraws consent. Withdrawal of consent applies prospectively only and may prevent Advisor from continuing to use the Service. • Hardware and software requirements. To access, view, and retain electronic records, Advisor needs a computer or mobile device with internet access, a current web browser supported by Wealth Recon, sufficient storage to retain electronic records, an active email account, and the ability to view, save, or print Portable Document Format files. By consenting below, Advisor confirms that Advisor has these capabilities. • Updating contact information. Advisor will keep Advisor account email current and will promptly update Advisor account email in the Service if it changes. Advisor will notify Wealth Recon if Advisor stops being able to receive electronic records at the email of record. • How electronic records are delivered. Wealth Recon will deliver electronic records by email to Advisor account email, by posting in the Service, or by both means. By electronically signing this Agreement, Advisor (a) consents to the use of electronic signatures and electronic records on the terms above, (b) agrees that Advisor electronic signature has the same legal effect as a manually written signature, (c) intends to be bound by this Agreement when Advisor completes the electronic signing flow, and (d) confirms that Advisor has read and understands these disclosures.
  2. Definitions Capitalized terms used in this Agreement have the meanings assigned in the Terms of Service unless otherwise defined below. "Designated Signature Platform" means the third-party electronic signature platform Wealth Recon designates for execution of this Agreement, which is currently Anvil. Wealth Recon may designate a different electronic signature platform from time to time, and this Agreement governs regardless of which platform is then in use. "Authorized User" means an Advisor or a Firm employee or contractor who is permitted by the Firm to access the Service under the Firm account. "Dossier" means any prospect research output produced by the Service for a Subject. "Firm" means the entity, if any, that employs or contracts Advisor and whose account or seat Advisor uses to access the Service. "Output" means any text, citation, summary, contact reference, public-record reference, classification, or other content produced by the Service, including each Dossier. "Service" means the Wealth Recon website, web application, application programming interfaces, and related products and features that Wealth Recon makes available, including any Output. "Subject" means an individual or entity that is the subject of a Dossier. "Terms of Service" means the Wealth Recon Terms of Service in effect at the time Advisor signs this Agreement, as updated from time to time.
  3. Order of Precedence This Agreement supplements the Terms of Service. In the event of a conflict between this Agreement and the Terms of Service that cannot be reconciled, this Agreement controls with respect to its specific subject matter. In all other respects, the Terms of Service control. The Privacy Policy controls with respect to information practices.
  4. Advisor Representations and Warranties Advisor represents and warrants on the date of signing and continuing throughout the term of Advisor account that: • Advisor is at least eighteen years of age and resides in the United States. • Advisor is a licensed or registered financial professional in good standing in each jurisdiction where Advisor conducts business that requires a license or registration, or Advisor is an authorized employee of a Firm that employs such professionals and that has authorized Advisor to access the Service for permitted business purposes. • Advisor enters into this Agreement in Advisor own individual capacity. If Advisor accesses the Service through a Firm account or seat, Advisor represents that Advisor is authorized by Firm to access the Service for the permitted business purposes and to accept these terms as they apply to Advisor use, and that this authorization has not been revoked. Advisor does not bind Firm to this Agreement unless Advisor is a person with authority to bind Firm and signs in that capacity, as recorded in the signature block. • Advisor is responsible for the compliance of each Authorized User to whom Advisor grants or enables access under Advisor account, and a breach of this Agreement by any such Authorized User is treated as a breach by Advisor. • Advisor use of the Service will comply with all rules of the Securities and Exchange Commission, the Financial Industry Regulatory Authority, state securities and insurance regulators, the Department of Labor, applicable self-regulatory organizations, Firm policies, and any applicable code of ethics. • The information Advisor provides during signup, including legal name, account email, work email, Firm name, and any license or registration identifier, is true, accurate, and complete. • Advisor will promptly notify Wealth Recon if any representation in this section becomes inaccurate, including if Advisor license or registration is revoked, suspended, or subject to disciplinary action that would affect Advisor authorization to conduct business.
  5. Permitted Use Advisor may use the Service and Output solely for lawful, legitimate, internal business purposes related to evaluating, contacting, or serving prospective and existing clients of Advisor financial advisory practice. Advisor may share Output internally with Authorized Users at Firm who have a legitimate business need to know, subject to Firm policies and confidentiality obligations no less protective than those in this Agreement. When Advisor exports any Output from the Service, including any Portable Document Format or Comma-Separated Values file, Advisor is responsible for securing, retaining, and disposing of that exported Output in accordance with applicable privacy and recordkeeping law and Firm policy, and the obligations in this Agreement continue to apply to the exported Output while Advisor holds it.
  6. Prohibited Use Advisor will not, and will not permit any Authorized User or third party to: • Use the Service or any Output to harass, stalk, threaten, defraud, intimidate, or unlawfully discriminate against any Subject or any other person. • Resell, sublicense, transfer, share for compensation, or otherwise commercially redistribute any Output outside Firm. • Scrape, crawl, mirror, or extract data from the Service through any automated means that Wealth Recon has not expressly authorized in writing. • Reverse engineer, decompile, disassemble, or attempt to derive the source code, prompts, models, weights, or underlying training data of the Service, except to the limited extent applicable law expressly permits this conduct. • Use the Service or any Output to train any artificial intelligence or machine learning model or to develop a product that competes with the Service. • Use the Service or any Output for any purpose covered by the Fair Credit Reporting Act, fifteen United States Code section sixteen eighty-one and following, including to determine or to assist in determining a Subject eligibility for credit, insurance, employment, housing, tenancy, government benefits, or any other consumer purpose covered by that statute. Advisor acknowledges that the Service is not a consumer reporting agency, that no Output is a consumer report or an investigative consumer report, and that Wealth Recon does not assemble or evaluate Output for any Fair Credit Reporting Act purpose. • Use the Service or any Output in violation of the Gramm-Leach-Bliley Act, the Illinois Biometric Information Privacy Act, the Illinois Personal Information Protection Act, the California Consumer Privacy Act and California Privacy Rights Act, the Virginia Consumer Data Protection Act, the Colorado Privacy Act, the Connecticut Data Privacy Act, the Utah Consumer Privacy Act, the Texas Data Privacy and Security Act, the Telephone Consumer Protection Act, the CAN-SPAM Act, state do-not-call rules, securities or insurance regulations, anti-money laundering laws, sanctions laws administered by the Office of Foreign Assets Control, or any other applicable law. • Impersonate any person, share account credentials, attempt to access another user account, or interfere with the security or integrity of the Service. 6a. Fair Credit Reporting Act Certification. Advisor certifies, each time Advisor requests a Dossier or other Output and as a condition of that request, that: • Advisor is requesting and will use the Output solely for the permitted business purpose of evaluating, contacting, or serving a prospective or existing client of Advisor financial advisory practice. • Advisor is not requesting or using the Output, in whole or in part, for any purpose covered by the Fair Credit Reporting Act, including any credit, insurance, employment, housing, tenancy, or government-benefit eligibility determination, and Advisor will not use any Output as a factor in any such determination. • Advisor will not furnish any Output to any person who Advisor knows or has reason to believe will use it for a purpose covered by the Fair Credit Reporting Act. Wealth Recon relies on this certification each time it returns Output to Advisor. A false or inaccurate certification is a material breach of this Agreement, voids Advisor right to the Output obtained, and is an independent violation of law for which Advisor, and not Wealth Recon, is responsible. Wealth Recon records each certification, including the request timestamp, as evidence of Advisor certification for that request.
  7. Acknowledgments Regarding Artificial Intelligence and Sources Advisor acknowledges and agrees that: • The Service relies on artificial intelligence systems that can produce inaccurate, incomplete, outdated, fabricated, biased, or mismatched results. • Public sources used by the Service can be incomplete, outdated, inaccurate, mismatched to the wrong individual, or restricted under privacy or terms of use policies that change over time. • Wealth Recon publishes Dossier claims only when a verifiable source Uniform Resource Locator is attached. The presence of a source link does not guarantee that the cited source supports the statement, that the cited source remains available, or that the cited source is itself accurate. • The Service does not guarantee that any Dossier or Output is complete, current, accurate, or error free. • Advisor is responsible for opening each cited source and independently verifying any fact, citation, or piece of contact information in a Dossier before relying on it for any client or prospect interaction.
  8. No Investment, Legal, Tax, Insurance, Compliance, or Suitability Advice Wealth Recon does not provide investment, legal, tax, insurance, compliance, or suitability advice. Output is informational only. No Output is a recommendation to buy, sell, or hold any security, insurance product, annuity, or other financial instrument, and no Output is a determination that any product, service, or strategy is suitable or appropriate for any person. Advisor is solely responsible for all professional judgments, recommendations, and communications with clients and prospects. Advisor will comply with all applicable suitability, fiduciary, and conduct standards.
  9. Advisor Verification Obligations Advisor will review each Dossier and each Output for accuracy, completeness, and Subject identity before relying on it for any client or prospect interaction. Advisor will not communicate to a client, prospect, regulator, or other third party any fact obtained from a Dossier without first verifying that fact in an independent source. Advisor will document Advisor verification steps in a manner consistent with Firm policies and applicable recordkeeping rules.
  10. Privacy and Subject Rights Advisor acknowledges that Subjects have privacy rights under federal and state law. Advisor will use Dossiers and Output only for lawful, legitimate business purposes. Advisor will comply with all applicable privacy laws, including the Gramm-Leach-Bliley Act and applicable state privacy and biometric laws. If a Subject contacts Advisor with a privacy request relating to information in a Dossier, Advisor will respond as required by applicable law and will reasonably cooperate with Wealth Recon if Wealth Recon receives a corresponding request from the Subject. Advisor will not represent to any Subject that Wealth Recon is the source of information used in any consumer-facing decision.
  11. Dossier Cache and Cross-User Invisibility Advisor acknowledges that, for performance and efficiency, Wealth Recon may cache Dossier components and reuse cached content in subsequent Dossiers for the same Subject. Each Dossier request consumes a credit from the requesting Advisor account; the cache controls only which agents run on a given request. The cache operates in three tiers: a Dossier generated within the past twenty-four hours returns the cached copy silently and no agents run; a Dossier generated within the past twenty-four hours to thirty days returns the cached copy and runs a refresh agent in the background; a Dossier more than thirty days old or absent triggers a full agent rebuild. The requesting Advisor sees only the date of the Advisor own request and is not shown a cache-state indicator. Cached content is not attributed to any prior Advisor. Other users of the Service cannot see Advisor Dossiers, queries, saved Subjects, or that Advisor researched any particular Subject. Wealth Recon does not disclose to any other user whether a Subject has previously been researched, including within the same Firm. Wealth Recon enforces this cross-Advisor invisibility rule in the Dossier pipeline as a core operating rule of the Service. This rule does not restrict Wealth Recon own access to operate, secure, debug, and improve the Service, the de-identified reuse of corrected facts and public sources described in the Terms of Service, or any disclosure that Wealth Recon is compelled to make by law, regulation, or valid legal process.
  12. Confidentiality of the Service The Service and its non-public features, designs, prompts, models, weights, pricing, and security information are the Confidential Information of Wealth Recon. The mutual confidentiality regime in the Confidentiality section of the Terms of Service governs this information and Advisor Confidential Information, and is incorporated into this Agreement by reference. Without limiting that regime, Advisor will not disclose Wealth Recon Confidential Information to any third party except to Authorized Users at Firm with a legitimate business need to know who are bound by confidentiality obligations at least as protective as those in this Agreement, and Advisor will use it only to use the Service under this Agreement.
  13. Records and Audit Advisor will maintain records of Advisor use of the Service sufficient to demonstrate compliance with this Agreement and the Terms of Service, including records of Advisor verification steps for facts relied on from Dossiers. On at least thirty days written notice and not more than once in any twelve-month period, Wealth Recon may, directly or through a qualified third-party auditor bound by confidentiality, review those records solely to verify Advisor compliance with the Fair Credit Reporting Act prohibition, the Prohibited Use section, and the Privacy section. The audit will occur during normal business hours and will not unreasonably interfere with Advisor operations.
  14. Indemnification by Advisor Advisor will defend, indemnify, and hold harmless Wealth Recon and its officers, directors, employees, contractors, licensors, and affiliates from and against any third-party claim, and will pay damages, costs, and reasonable attorneys fees finally awarded or agreed in settlement, arising out of or related to (a) Advisor use of the Service or any Output, (b) any action Advisor took based on Output, (c) Advisor breach of this Agreement or the Terms of Service, (d) Advisor violation of any law or regulation, including the Fair Credit Reporting Act, the Gramm-Leach-Bliley Act, the Illinois Biometric Information Privacy Act, the Telephone Consumer Protection Act, or any state privacy law, (e) any communication Advisor made with a client, prospect, regulator, or other third party in reliance on Output, or (f) any complaint, dispute, regulatory inquiry, or proceeding brought by a Subject relating to Advisor use of a Dossier. Wealth Recon will give Advisor written notice of any claim for which it seeks indemnification within a reasonable time after Wealth Recon becomes aware of it, provided that any delay in notice relieves Advisor of its obligations only to the extent the delay actually prejudices the defense. Advisor will assume and diligently conduct the defense of the claim with counsel reasonably acceptable to Wealth Recon, and Wealth Recon will reasonably cooperate at Advisor expense. Wealth Recon may participate in the defense at its own expense with counsel of its choice. Advisor will not settle any claim in a manner that imposes any liability, payment, admission of fault, or non-monetary obligation on Wealth Recon, or that does not fully release Wealth Recon, without Wealth Recon prior written consent. If Advisor fails to promptly assume or diligently conduct the defense, Wealth Recon may, on notice to Advisor, assume control of the defense and settlement at Advisor expense, and Advisor will remain responsible for all indemnified amounts. Advisor obligations under this section are not subject to the liability cap in the Limitation of Liability section and survive termination.
  15. Limitation of Liability To the maximum extent permitted by law, neither party will be liable to the other for any indirect, incidental, consequential, special, exemplary, or punitive damages, including lost profits, lost revenue, lost data, lost opportunities, or business interruption, even if advised of the possibility of such damages. To the maximum extent permitted by law, the total aggregate liability of Wealth Recon for all claims arising out of or related to this Agreement or the Service will not exceed the total fees Advisor paid to Wealth Recon for the Service during the twelve months immediately preceding the event giving rise to the claim. This cap is an aggregate cap on all claims in total, not a per-claim cap. Each exclusion and limitation in this section applies regardless of the form of action, whether in contract, tort, strict liability, or otherwise, and applies even if a limited remedy in this Agreement or the Terms of Service is found to have failed of its essential purpose. The limitations in this section do not apply to (i) Advisor obligation to pay fees due under this Agreement or the Terms of Service, (ii) either party indemnification obligations, (iii) either party breach of the Confidentiality of the Service section, (iv) Advisor breach of the Prohibited Use section, (v) either party gross negligence, willful misconduct, or fraud, or (vi) liability that cannot be limited under applicable law.
  16. Fees, Credits, Overages, and Taxes Advisor agrees to pay all fees, subscription charges, credit purchases, overage charges, and applicable taxes other than taxes on Wealth Recon net income. Credits are nontransferable, have no cash value, and expire on the terms stated in Advisor plan. Except where required by applicable law, all fees are nonrefundable. Overage usage may be billed at standard rates. Subscriptions renew automatically for successive periods of the same length unless Advisor cancels before the renewal date, and Advisor authorizes Wealth Recon and its payment processor to charge Advisor payment method on file for subscription fees, overage charges, Pay-Per-Dossier purchases, and applicable taxes on a recurring basis until Advisor cancels. Nonpayment may result in suspension or termination of access.
  17. Suspension and Termination Wealth Recon may suspend or terminate Advisor access to the Service for breach of this Agreement, breach of the Terms of Service, suspected unlawful conduct, nonpayment, or conduct that Wealth Recon reasonably believes presents a risk to other users, to the Service, or to Wealth Recon. Sections that by their nature should survive termination, including Advisor Representations and Warranties, Prohibited Use, the Fair Credit Reporting Act Certification, Acknowledgments Regarding Artificial Intelligence and Sources, Privacy and Subject Rights, Records and Audit, Indemnification, Limitation of Liability, Confidentiality of the Service, fees accrued before termination, Binding Arbitration, Statute of Limitations, Governing Law and Venue, Record Retention and Evidence of Signing, Entire Agreement, and this sentence, survive.
  18. Binding Arbitration, Class Waiver, and Opt-Out This Agreement and the Service involve, evidence, and affect interstate commerce, and the Federal Arbitration Act governs the interpretation and enforcement of this agreement to arbitrate. Advisor and Wealth Recon agree that any dispute, claim, or controversy arising out of or relating to this Agreement, the Terms of Service, or the Service, including the formation, validity, scope, or enforceability of this arbitration agreement, will be resolved by final and binding arbitration administered by the American Arbitration Association under its Commercial Arbitration Rules. The arbitration will be conducted by a single arbitrator in Cook County, Illinois, or by video conference if both parties agree. The arbitrator will issue a reasoned written award. Judgment on the award may be entered in any court of competent jurisdiction. The arbitrator, and not any court or agency, has the exclusive authority to resolve any dispute relating to the interpretation, applicability, enforceability, or formation of this arbitration agreement, except as stated in the class-waiver paragraph below. Before initiating arbitration, the party raising the dispute will send the other party a written notice of dispute that describes the claim and the relief sought, and the parties will confer in good faith to attempt to resolve the dispute for sixty days after that notice is received. This notice-and-confer step is a condition precedent to arbitration, and the deadline to begin arbitration is tolled while the parties confer. Each party will bear its own attorneys fees and costs, and the parties will share the arbitrator and administrative fees, except that the arbitrator may award fees and costs to the prevailing party to the extent a statute or these documents allow. If twenty-five or more similar arbitration demands are submitted against Wealth Recon by or with the coordination of the same or coordinated counsel, the demands will be administered in staged batches of no more than fifty demands at a time, with a single arbitrator and a single set of filing and administrative fees per batch, and the deadline to begin arbitration on each later batch is tolled until the prior batch concludes. Advisor and Wealth Recon each waive any right to bring or participate in any class, collective, mass, or representative action against the other. The arbitrator may not consolidate more than one party claims or otherwise preside over any form of class or representative proceeding. The parties have never agreed to class arbitration, and the arbitrator has no authority to conduct any class, collective, mass, or representative arbitration. This class-action waiver is not severable from the agreement to arbitrate: if this waiver is found unenforceable as to any claim, then the agreement to arbitrate is null and void as to that claim only, and that claim will proceed in court subject to the Governing Law section, while all other claims remain in arbitration. Advisor may opt out of this arbitration agreement by sending Wealth Recon a written opt-out notice at the notice address published in the Service within thirty days after the date Advisor first signs this Agreement. The notice must include Advisor full legal name, account email, and a clear statement that Advisor opts out of arbitration. An opt-out does not affect any other provision of this Agreement. Either party may seek temporary, preliminary, or permanent injunctive or equitable relief in the state or federal courts located in Cook County, Illinois to protect intellectual property rights, confidential information, or to prevent unauthorized access to or use of the Service, without first proceeding to arbitration.
  19. Governing Law and Venue This Agreement and any dispute arising out of or relating to this Agreement or the Service are governed by the laws of the State of Illinois, without regard to its conflict of laws principles. Subject to the arbitration provision above, the exclusive jurisdiction and venue for any judicial action permitted under this Agreement lie in the state and federal courts located in Cook County, Illinois, and Advisor consents to that jurisdiction and venue.
  20. Record Retention and Evidence of Signing Advisor acknowledges that Wealth Recon will retain a copy of this Agreement, the electronic signature audit trail, and related signing metadata for as long as Advisor maintains an account with Wealth Recon and for a period of at least seven years afterward, consistent with Wealth Recon recordkeeping policies and applicable law. Advisor acknowledges that Advisor, and not Wealth Recon, is responsible for Advisor own recordkeeping obligations, including any obligations under Securities Exchange Act Rule 17a-4 or Investment Advisers Act Rule 204-2 that apply to Advisor or Advisor Firm. Nothing in this Agreement makes Wealth Recon a books-and-records vendor for Advisor or assumes any of Advisor regulatory recordkeeping obligations. The electronic signature record, including the signed Portable Document Format file, the signing timestamp, the internet protocol address and device user-agent string captured at signing, and the document hash, may be offered as evidence of Advisor acceptance of this Agreement. Advisor will not contest the admissibility of that record on authentication or best-evidence grounds, although Advisor retains all other defenses and objections.
  21. Updates and Required Re-Acceptance Wealth Recon may update this Agreement from time to time. Wealth Recon will notify Advisor of material changes at least fifteen days before the effective date and, when reasonably warranted, will require Advisor to electronically re-sign the updated Agreement through the designated electronic signature platform before continuing to use the Service. If Advisor does not re-sign the updated Agreement, Advisor access to the Service may end on the effective date of the change.
  22. Relationship of the Parties This Agreement does not create a partnership, joint venture, agency, fiduciary, or employment relationship between Wealth Recon and Advisor. Neither party has the authority to bind the other. Each party is an independent contractor.
  23. Notices Notices to Wealth Recon must be in writing and sent to the notice address and notice email address published in the Service. Notices to Advisor may be given by email to the account email of record, by posting in the Service, or by mail to any address Advisor has provided. A notice is effective on the date of email or in-Service posting, or three business days after deposit in the United States mail.
  24. Force Majeure Neither party will be liable for any failure or delay in performance, other than payment obligations, caused by events beyond its reasonable control, including acts of God, fire, flood, earthquake, pandemic, war, terrorism, civil disturbance, government action, labor dispute, internet or telecommunications outage, denial-of-service attack, or failure of upstream cloud providers.
  25. Statute of Limitations Except for claims arising under intellectual property or confidentiality, any claim arising out of or related to this Agreement or the Service must be brought within one year after the cause of action accrues, or it is permanently barred.
  26. Severability, Waiver, Assignment, and Counterparts If any provision of this Agreement is held invalid, illegal, or unenforceable, a court or arbitrator will reform that provision to the minimum extent necessary to make it enforceable and consistent with the parties intent, and the remaining provisions will remain in full force and effect. No failure or delay in exercising any right is a waiver. Advisor may not assign this Agreement without Wealth Recon prior written consent. Wealth Recon may assign this Agreement without consent in connection with a merger, acquisition, financing, reorganization, or sale of all or substantially all of its assets. This Agreement may be executed in counterparts, including by electronic signature, each of which is an original and all of which together constitute one instrument.
  27. Entire Agreement This Agreement, together with the Terms of Service and the Privacy Policy in effect at the time of signing, is the entire agreement between Advisor and Wealth Recon with respect to its subject matter and supersedes all prior agreements and understandings with respect to that subject matter.
  28. Acknowledgment By signing below through the electronic signature platform Wealth Recon designates, Advisor acknowledges that Advisor has read this Agreement, understands it, has had the opportunity to consult counsel of Advisor own choosing, and agrees to be bound by it. Signature Block (captured by the Designated Signature Platform) The following fields will be captured by the Designated Signature Platform at signing.

Advisor Legal Name

Account Email

Work Email

Firm Name

CRD Number or Other License or Registration Identifier

Capacity in Which Advisor Signs (Individual, or Authorized Representative of Firm)

Electronic Signature

Date Signed

System-Captured Fields (recorded automatically by the signing platform): • IP address at signing • Device user-agent string • Document hash • Signature platform envelope identifier • Terms of Service version accepted • Advisor Use Agreement version accepted • Advisor acknowledgment of the Fair Credit Reporting Act Certification • Acceptance timestamp End of Agreement.