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Forms 1- 20 of 26 Available for 'Stockbrokers & Advisors'

Stock Brokerage Agency Agreement  

This agreement is made on ____ (date), between ____, as principal, of _______ ___ (address) and ____, as agent, of ______ ___ (address). This agreement may be terminated by written notice addressed to agent and delivered by mail or in person to the agents office at ____ ...

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Investment Advisory Agreement  

The Client here retains the Company as a financial and investment advisor upon the terms and conditions set forth below and the Company accepts this retention and agrees to perform the services noted below upon such terms and conditions. Article I. The Company agrees to evaluate the Client's financial situation, including the Client's investment portfolio, and provide an analysis and plan relating to that portfolio within a reasonable period of time, including recommendations to the Client ...

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Corporation Account Agreement  

The undersigned corporation, by ___, its president, pursuant to the resolutions, a copy of which, certified by the secretary, is annexed to this agreement, here authorizes you to open an account in the name of the corporation; and the undersigned also encloses your customer's agreement [and consent to loan of securities] duly executed on behalf of the corporation. This authorization shall continue in force until revoked by the undersigned corporation by a written notice, addressed to ...

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Investment Counsel Client's Contract  

Investment counsel client's contract. I here retain you to act as consultant on investment matters for one year from date (and quarterly after that time until canceled) and pay you now a fee of $___, to be credited against the first year's fees which will accrue under this agreement. As required by the federal Investment Advisers Act of 1940 any assignment by you of this agreement (or voluntary assignment of a controlling interest in your organization) shall terminate this agreement unless...

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Agreement to Sell Stock to Purchasers for Investment Only (Railroad Stock)  

Agreement to sell stock to purchasers for investment only (railroad stock). 1. Owner owns ___ shares of preferred stock of the ___ Railroad Company and ___ shares of the common stock of the ___ Railroad Company; it has full power and right to sell and transfer all of the shares. Owner shall pay all transfer taxes incident to the sale by owner to the purchasers.

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Joint Account Agreement-With Right of Survivorship  

Joint account agreement-With right of survivorship. You are authorized to follow the instructions of any of the undersigned in every respect concerning the joint account with you and to make deliveries to any of the undersigned, or upon that party's instructions, of any or all securities in the joint account, and to make payments to any of the undersigned, or upon that party's order, of any or all monies at any time or from time to time in the joint account as that party may order and direct...

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Arbitration Clause  

Any arbitration under this agreement shall be conducted pursuant to the federal arbitration act and the laws of the state of ___, before the American Arbitration Association, or before the New York Stock Exchange, Inc. or an arbitration facility provided by any other exchange of which broker is a member, or the National Association of Securities Dealers, Inc. or the Municipal Securities Rulemaking Board and in accordance with the applicable rules of the selected organization. The ...

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As Tenants in Common  

In the event of the death of any of the undersigned the interests in the account as of the close of business on the date of the death of the decedent (or on the next following business day if the date of death is not a business day), shall be as follows: but any taxes, costs, expenses or other charges becoming a lien against or being payable out of the account as the result of the death of the decedent, or through the exercise by his or her estate of any rights in the account shall, so far as...

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Option Account Agreement  

I understand that I will bear full responsibility for taking action to exercise a valuable option; however, in the absence of my notifying you to exercise a valuable option contract, I understand that you will use your best efforts to exercise the option contract on my behalf. I agree to abide by all rules of the Options Clearing Corporation, and any securities exchange rules governing options transactions, including but not limited to the position and exercise limit rules. If I write a call...

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Declaration of Nonresidence for New York State Stock Transfer Tax  

Declaration of nonresidence for New York State stock transfer tax. (i) (a) is not domiciled in the State of New York and maintains no permanent place of abode in this state (except as may be due solely to being in the Armed Forces of the United States); or (b) is domiciled in this state but maintains no permanent place of abode in this state, maintains a permanent place of abode elsewhere, and during the one-year period ending on the date of this agreement spent in the aggregate not more ...

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Agreement Appointing Agent  

To receive and deposit in a special bank account in any bank or trust company such sum or sums as principal may now or in the future give or transfer to agent, the special account to be designated as "___ Agent." Alternatively, the sum or sums may be deposited by agent with ___[broker] at its office situated at ___, in an account entitled ___. Principal agrees that agent shall not be liable to principal for any losses or damages except those due to willful misfe

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Partnership Agreement of Brokerage Firm  

Partnership agreement of brokerage firm. The term of the partnership may be extended or renewed for such periods as the parties may agree. $___ of which represents the value of a membership on the New York Stock Exchange, the use of which shall be for the exclusive benefit of the partnership, and which shall be a partnership asset.

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Margin Account Agreement  

The undersigned understands that such margin will not be less but may be greater than that required by the rules of exchanges and the regulations issued by the Federal Reserve Board. MORE IMPORTANTLY, THERE WILL BE CIRCUMSTANCES WHERE BROKER WILL LIQUIDATE SECURITIES AND/OR OTHER PROPERTY IN THE ACCOUNT WITHOUT NOTICE TO THE UNDERSIGNED TO ENSURE THAT MINIMUM MAINTENANCE REQUIREMENTS ARE SATISFIED. ANY SUCH SALES OR PURCHASES MAY BE MADE AT BROKER'S DISCRETION ON ANY EXCHANGE OR OTHER MARKET ...

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Wife's Waiver As to Husband's Joint Account with Others  

Wife's waiver as to husband's joint account with others. My husband, ___, with my full knowledge and consent, has opened [may open] an account with ___ as joint tenants with right of survivorship. I waive any right to receive any notices, demands, reports, statements of account or other communications in connection with this account.

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Investment Club Cash Account Authorization  

Investment club cash account authorization. The undersigned here represent and warrant to you that they are all the members of a club known as ___("the club"), and the undersigned here authorize you to open a securities account for the club, to be known as the ___ Account. You are authorized to follow the instructions of the agent in every respect concerning the account, and to make delivery of securities and payment of moneys to the agent or as the agent may order and dir

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Copartnership Account Agreement  

shall have authority on behalf of the copartnership account to buy, sell and otherwise deal in, through you as brokers, stocks, bonds and other securities and commodities, on margin or otherwise (including short sales); to receive on behalf of the copartnership account demands, notices, confirmations, reports, statements of account, and communications of every kind; to receive on behalf of the copartnership account money, securities and property of every kind, and to dispose of same; to make ...

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Corporation Account Agreement  

That the president or any vice-president of this corporation ("the corporation") or ___ or ___ are by this resolution each authorized and empowered, for and on behalf of the corporation, to establish and maintain one or more accounts, with ___("the brokers"), and to deposit funds in any of the accounts and to deliver to the brokers for the accounts any and all forms of securities (including within the meaning of such term as used here, but not by way of limi

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Clause in Will Directing Retention of Particular Investment Counsel by Executors  

Clause in will directing retention of particular investment counsel by executors. I direct my executors and trustees to retain ___ as investment counsel on such basis as is usual for similar services of such counsel, and to consult with ___ on all investment matters in my estate and in each trust under this will or any codicil, including all matters relating to the retention, sale, purchase, investment or reinvestment of securities or other property. The counsel's compensation ...

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Full Authorization with Privilege to Withdraw Money and Securities  

Full authorization with privilege to withdraw money and securities. You are authorized to follow the instructions of ___ in every respect concerning the undersigned's account with you, and make deliveries of securities and payment of money to ___ or as ___ may order and direct. The undersigned here ratifies and confirms any and all transactions with you made in the past or future by the above-described agent or for the undersigned's account.

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Guaranty of Account  

2. Guarantor agrees that this guaranty shall be effective not only with respect to the guaranteed account but also with respect to any and all renewals of it; that the guaranteed account may be changed from time to time by the purchase or sale or exchange of securities or other property, or by payments or by deliveries of securities or other property by or to or upon the order of customer, and that the guaranteed account may be closed out by you at any time; that, in general, you may deal ...

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