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The Career Mompreneur, LLC™ Client Agreement
This Agreement is entered into this day of 20 ,by the financial coach, The Career Mompreneur, LLC, (hereinafter referred to as “Financial Coach”, “Our firm”, “We” or “Us”), through its coaching representative (“Planner”)and (“Client”). In consideration of the mutual benefits to be derived from this Agreement, it is understood and agreed as follows:
Our firm shall provide the Client with the following Financial Coaching services:
We provide a variety of financial planning and consultation services to individuals, families, and other clients regarding the management of their financial resources based upon an analysis of the client’s current situation, goals, and objectives. Generally, such financial coaching services will involve preparing a financial plan or rendering a financial consultation for clients based on the client’s financial goals and objectives. This planning or coaching may encompass one or more of the following areas: Investment Planning, Retirement Planning, Estate Planning, Charitable Planning, Education Planning, Corporate and Personal Tax Planning, Cost Segregation Study, Corporate Structure, Real Estate Analysis, Mortgage/Debt Analysis, Insurance Analysis, Lines of Credit Evaluation, Business and Personal Financial Planning.
Our written financial plans or financial consultations rendered to the clients usually include general recommendations for a course of activity or specific actions to be taken by the clients. For example, recommendations may be made that the clients begin or revise investment programs, create or revise wills or trusts, obtain or revise insurance coverage, commence or alter retirement savings, or establish education or charitable giving programs. It should also be noted that we refer clients to an accountant, attorney, or other specialist as necessary for non-advisory related services. For written financial coaching engagements, we provide our clients with a written summary of their financial situation, and our firm’s observations and recommendations. For financial consulting engagements, we usually do not provide our clients with a written summary of our observations and recommendations as the process is less formal than our planning service. Plans and/or consultations are typically completed within six (6) months of the client signing a contract with us, assuming that all the information we request from the client are provided to us promptly. Implementation of the recommendations will be at the discretion of the client.
2. CLIENT’S RESPONSIBILITIES:
The Client recognizes that the value and usefulness of our firm’s financial coaching services will be dependent upon the information that the Client provides and the Client’s active participation in the formulation and implementation of the financial planning objectives. The Client will be required to complete a profile to assist us in formulating the Client’s financial planning objectives. We are not responsible for collecting client documents and profile must be accurately completed in order for our firm to assist in conducting a more complete evaluation of the Client’s financial planning objectives and to prepare a financial plan.
We charge either on an hourly or flat fee basis for financial planning and coaching services. The ultimate fee that we charge you is based on the scope and complexity of our engagement with you. Our maximum hourly fee is $497 and our flat fees are identified in our subscription plans and ala carte services.
(Client’s Initial) (Client’s Initial) Hourly Planning/Consulting Fee – an hourly fee of $ shall be paid to our firm for coaching services with a minimum charge of hours. The total estimated hours for financial planning/coaching services is .
(Client’s Initial) (Client’s Initial) Flat Planning/Consulting Fee – a flat fee of $ shall be paid to our firm for financial planning/coaching services.
The ultimate fee we charge you will be due to us at the time of signing the Financial Coaching Agreement.
The Client understands that the Financial Coach may recommend that clients execute their financial plans through a broker-dealer, though the Client is free to implement their plan through broker-dealers or insurance companies of their choice. The Planner does not possess or exercise any discretion with respect to Client transactions. Financial planning clients do not receive reviews of their written plans unless they take action to schedule a financial consultation with us. We only provide ongoing services to financial planning clients in our subscription plans and not ala carte services, but are willing to meet with such clients upon their request to discuss updates to their plans, changes in their circumstances, etc.
5. LEGAL AND ACCOUNTING SERVICES:
It is expressly understood and agreed between the parties of this Agreement that our firm will not provide accounting or legal advice nor prepare any accounting or legal documents for the implementation of the Client’s financial planning objectives. The Client is urged to work closely with his/her attorney and/or accountant in implementing recommendations set forth in the financial plan.
You can cancel at any time, but it will not go into effect until the end of the paid period. In addition, access to materials or a coach will no longer be available for you.
All Transactions will appear on your statement as The Career Mompreneur LLC.
This agreement contains a provision, which requires that all claims arising out of transactions or activities affecting the provision of services by our firm to the Client (collectively referred to as “the parties”) be resolved through arbitration in Marion County, Indiana. The parties acknowledge, understand and agree that:
(i) Arbitration is final and binding on the parties.
(ii) The parties are waiving their right to seek remedies in court, including the right to jury trial.
(iii) Pre-arbitration discovery is generally more limited than and potentially different in form and scope from court proceedings.
(iv) The Arbitration Award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of a ruling by the arbitrators is strictly limited.
(v) The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
To the extent permitted by law, all controversies which may arise between the parties or any of their affiliated companies concerning any transaction arising out of or relating to this agreement, or the construction, performance, or breach of this or any other agreement between us whether entered into prior to, on or subsequent to the date hereto, shall be submitted to arbitration conducted under the Rules of the American Arbitration Association.
Arbitration must be commenced by service upon the other party, of a written demand for arbitration or a written notice of intention to arbitrate. Judgment upon any award rendered by the arbitrator(s) shall be final, and may be entered in any court having jurisdiction. Any arbitration proceeding pursuant to this Agreement shall be determined pursuant to the laws of the State of Indiana. This Agreement supersedes any and all preexisting agreements and/or understandings. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre- dispute arbitration agreement against any person who has initiated in court a putative class action; or is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (i) the class certification is denied; or (ii) the class is decertified; or (iii) the customer is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein.
The parties hereby submit to the in personam jurisdiction of the courts of the State of Indiana and the local courts located therein (and expressly waive any defense to personal jurisdiction of the Client by such courts) for the purpose of confirming, vacating, or modifying any such award or judgment entered thereon. To the extent any controversy as above described is to be resolved in a court action, the parties expressly agree that such action shall be brought only in State or Federal courts in Indiana and service of process in such action shall be sufficient if served on the parties by certified mail, return receipt requested, at the parties last address known to the other party. In this connection the parties expressly waive any defense(s) to personal jurisdiction of the parties by such court; to service of process as set forth above; to venue; and in addition, expressly agree that Indiana is a convenient forum for any such action.
Nothing herein shall be enforceable to the extent that you waive any of your rights under state or federal securities laws.
This Agreement may not be assigned (within the meaning of the Advisers Act) by either you or our firm without the prior consent of the other party. You acknowledge and agree that transactions that do not result in a change of actual control or management of our firm shall not be considered an assignment pursuant to Rule 202(a)(1)-1 under the Advisers Act.
9. GOVERNING LAW:
All financial planning/coaching services shall be in compliance with the Investment Advisers Act of 1940 regulating the services provided by this Agreement.
You acknowledge that our firm will not vote proxies.
Client’s Name (Print):
Client’s Name (Print):
Financial Coach Signature:
Financial Coach Name (Print):
The Career Mompreneur, LLC™
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