Brokerage Client definition

Brokerage Client means any client or customer of a Broker-Dealer who receives Brokerage Services from such Broker-Dealer.
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Brokerage Client means any Person to whom LP Securities, as the context requires, provides, on the date of this Agreement or prior to Closing, or has provided, securities transaction execution services or other broker-dealer related services.
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Brokerage Client means an investor conducting derivatives transactions via the brokerage activities of a trading member.
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Examples of Brokerage Client in a sentence

  • You can always obtain the current version of the Disclosure Brochures, Brokerage Client Agreement and the Other Important Brokerage Disclosures by visiting our website at xxxxxxxxxx.xxx/xxxxxxxxxxx or by calling our service line at 800.862.7919.

  • You acknowledge that you have received and have had the opportunity to review the (i) Sweep Program and Expenses section of the Disclosure Brochures; (ii) Money Settlement Options section of the Ameriprise Brokerage Client Agreement, and (iii) Other Important Brokerage Disclosures document, which fully describe our insured bank deposit programs.

  • The Ameriprise Brokerage Client Agreement, the Other Important Brokerage Disclosures Document and the Schedule of Account & Service Fees are collectively referred to as the “Brokerage Agreement” and set forth the terms under which brokerage services are provided to you as part of your Agreement.

  • You will be required to establish a Money Settlement Option (“Sweep Program”) for which you are eligible, as described in Section 38 of the Ameriprise Brokerage Client Agreement and in the Other Important Brokerage Disclosures document.

  • The Ameriprise Brokerage Client Agreement, the Other Important Brokerage Disclosures Document and the Schedule of Account & Service Fees are collectively referred to as the “Brokerage Agreement” and set forth the terms under which brokerage services are provided to you as part of your Agreement.This Agreement is made between Sponsor and each of the client(s) (“Client”) who sign the Application.

  • The Client Service Agreement contains an arbitration clause nearly identical to the one in the Brokerage Client Agreement quoted above; the only differences are that the arbitration clause of the Client Service Agreement substitutes "Client's Service Account" for "my accounts" and "Sponsor or Sponsor's agents" for "you or your Broker." Katherine opened the second investment account in her individual capacity.

  • Signature Signature Brokerage Client Date Date Sirago Underwriting Managers (Pty) Ltd is an authorised Financial Services Provider (FSP:4710) Underwriting Agency for GENRIC Insurance Company Limited (FSP: 43638).

  • Sponsor will promptly notify you or your duly authorized agent, as applicable, of any decision to reject instructions from you or your agent.You will be required to establish a Money Settlement Option (“Sweep Program”) for which you are eligible, as described in Section 38 of the Ameriprise Brokerage Client Agreementand in the Other Important Brokerage Disclosures document.

  • As part of the transaction, Katherine signed a form acknowledging she had received and read the Brokerage Client Agreement and agreed to abide by its terms and conditions.

  • See Lehman Brothers, GCS-Prime Brokerage Client Services & Technology Reference Guide 2006 (May, 24, 2006) (unpublished internal manual) [LBI_PIR_000024]; Lehman Brothers, Global Client Services: Pitchbook (2006) [LBI_PIR_000198] (attached to e-mail dated Sept.


More Definitions of Brokerage Client

Brokerage Client means an investor conducting derivatives transactions via the brokerage activities of a trading member.
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Related to Brokerage Client

  • Brokerage means the provision by a third party of services, for a fee, to source Sub-Contractors to provide the Services on behalf of the Provider.

  • Brokerage agreement means a written or oral agreement

  • Broker means any person engaged in the business of effecting transactions in securities for the account of others.

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Advisory Client means any client (including both investment companies and managed accounts) for which Invesco serves as an investment adviser, renders investment advice, or makes investment decisions.

  • Finder means a person who, for consideration, participates in the offer to sell, sale, or purchase of securities by locating, introducing, or referring potential purchasers or sellers. Finder does not include a person whose actions are solely incidental to a transaction exempt pursuant to section 202(1)(r). The administrator may by rule or order exclude other persons from this definition.

  • The Client means the organization purchasing the service.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • Retail Client means a client who is not a professional client;

  • Vendor or “Vendors” means any entity submitting a bid in response to the Solicitation, the entity that has been selected as the lowest responsible bidder, or the entity that has been awarded the Contract as context requires.

  • Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own account.

  • Client means the Project lead of technical wing of the Purchaser for whose’ particular project the Goods / Services have been procured or any other person, duly appointed in writing, by the Client, for the time being or from time to time, to act as Client for the purposes of the Contract.

  • Bona fide association means, with respect to health insurance coverage offered in this

  • Advisor or “ADVISORS” means the Person or Persons, if any, appointed, employed or contracted with by the Company pursuant to Section 8.1 hereof and responsible for directing or performing the day-to-day business affairs of the Company, including any Person to whom the Advisor subcontracts all or substantially all of such functions.

  • Merchant means a company, firm or other organisation accepting either all Cards as a means of payment for goods and/or services or at least one type of Card for business to business transactions.

  • Salesperson means any person holding an Iowa real estate salesperson license as defined in Iowa Code section 543B.5(19).

  • Funding and Brokerage Fees means, in respect of a Series, all applicable fees other than the Arranger Fees, including, but not limited to, margin interest, securities lending fees, brokerage fees and costs of transaction taxes on the sale or purchase of Reference Assets (where relevant).

  • Pawnbroker means the same as that term is defined in Section 13-32a-102.

  • Adviser means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Professional Client means a “Professional Client” for the purposes of CySEC Rules, as specified in the Client Categorization Policy found on the Company’s Website.

  • Brokers and Finders' Fees............................................ 13 2.14

  • Merchant Agreement means a writ- ten contract between a merchant and an acquirer to honor or accept credit cards, or to transmit or process for payment credit card payments, for the purchase of goods or services or a char- itable contribution.

  • Company Customer means a person or entity for whom the Company or any of its Subsidiaries was providing services either at the time of, or at any time within the twelve (12) months preceding the Termination Date, and for whom the Participant had direct contact with and/or carried out or oversaw a material business responsibility during said twelve (12) month period or about whom the Participant had exposure to or received Confidential Information as a result of the Participant’s employment with the Company or any of its Subsidiaries.

  • Data Broker means either of the following:

  • Customer means the State agency or other entity identified in a contract as the party to receive commodities or contractual services pursuant to a contract or that orders commodities or contractual services via purchase order or other contractual instrument from the Contractor under the Contract. The “Customer” may also be the “Buyer” as defined in the PUR 1001 if it meets the definition of both terms.