Moderately Aggressive. This risk tolerance indicates you want to outperform stock market indices when the markets go up but are aware of and accept the fact that your account will likely be down more than the market indices when the stock markets perform poorly. You are willing to accept more risk than the average investor for the potential of greater returns. Aggressive: This risk tolerance indicates you want to substantially outperform the stock market and are willing to accept the higher degree of risk associated with seeking returns that outperform. You are very aware that a similar level of outperformance when markets are performing well can negatively impact you when markets are not faring well. You accept a high level of risk with the potential for greater returns. Speculative: This risk tolerance indicates you are comfortable with the highest level of risk and the highest average possibility for loss of initial investment value in exchange for higher potential to profit from an anticipated price move. USA PATRIOT ACT NOTICE In order to combat terrorism and illegal money-laundering activities, and help the government fight financial crimes, Federal law and contractual obligations between SAI and the Clearing Firm require that we verify your identity by obtaining your name, date of birth, address, and a government- issued identification number before opening your account. In certain circumstances, we may obtain and verify this information with respect to any person(s) authorized to effect transactions in an account. For certain entities, such as trusts, estates, corporations, partnerships, or other organizations, additional identifying documentation may also be required. Your account may be restricted and/or closed if we or the Clearing Firm cannot verify this information. Neither we nor the Clearing Firm will be responsible for any losses or damages (including, but not limited to, lost opportunities) resulting from any failure to provide this information, or from any restriction placed upon, or closing of, your account.
Appears in 2 contracts
Samples: Customer Agreement, Customer Agreement
Moderately Aggressive. This risk tolerance indicates you want to outperform stock market indices when the markets go up but are aware of and accept the fact that your account will likely be down more than the market indices when the stock markets perform poorly. You are willing to accept more risk than the average investor for the potential of greater returns. Aggressive: This risk tolerance indicates you want to substantially outperform the stock market and are willing to accept the higher degree of risk associated with seeking returns that outperform. You are very aware that a similar level of outperformance when markets are performing well can negatively impact you when markets are not faring well. You accept a high level of risk with the potential for greater returns. Speculative: This risk tolerance indicates you are comfortable with the highest level of risk and the highest average possibility for loss of initial investment value in exchange for higher potential to profit from an anticipated price move. USA PATRIOT ACT NOTICE In order to combat terrorism and illegal money-laundering activities, and help the government fight financial crimes, Federal law and contractual obligations between SAI and the Clearing Firm require that we verify your identity by obtaining your name, date of birth, address, and a government- issued identification number before opening your account. In certain circumstances, we may obtain and verify this information with respect to any person(s) authorized to effect transactions in an account. For certain entitiesAlthough all entities that provide services to your account strive to ensure the quality and reliability of those services, such as trusts, estates, corporations, partnerships, or other organizations, additional identifying documentation may also be required. Your account may be restricted and/or closed if we or the Clearing Firm cannot verify this information. Neither neither we nor the Clearing Firm will can be responsible for the availability, accuracy, timeliness, completeness, or security of any service related to your account. These services are provided “as is” and “as available”. You therefore agree that we and The Clearing Firm are not responsible to you for any losses (meaning claims, damages, actions, demands, investment losses, direct or damages (includingindirect, but not limited toincidental, lost opportunities) resulting from any failure to provide this informationspecial, punitive, consequential, or from other losses, as well as any restriction placed uponcosts, charges, attorneys’ fees, or closing ofother fees and expenses) that you incur as a result of conditions beyond our control or any agreement between the Parties. This includes, for example: • Any action that is done in accordance with the procedures described in this Agreement or an applicable mutual fund or securities prospectus or IC Program or BD Program Disclosure Document or other investment description. • The acceptance and processing of any order or transaction placed in your account, whether received electronically or through other means, as long as the order appears to be authentic. • Investment decisions or instructions placed in your account or other such actions attributable to you or any authorized person including your Financial Professional. • Occurrences related to governments or markets, such as rules and regulations, restrictions, suspensions of trading, bank closures or bank regulatory, legal or other limitations or restrictions or high market volatility or trading volumes. • Uncontrollable circumstances in the world at large, such as wars, terrorist activities, earthquakes, power outages, or unusual weather conditions. • Occurrences related to computers and communications, such as a network or systems failure, a message interception, or an instance of unauthorized access or breach of security over which we have no control or reasonable ability to know it has occurred (such as theft of your personal information by a third party, spyware or malware on your computer) or other actions or inactions by you resulting in unauthorized activities in your account. • Telephone requests for money transfers, so long as we transmit the proceeds to you or the bank account number identified by you. • Any checks or other debits to your account that are not honored because the account has insufficient funds. If any service failure is determined to be our responsibility, we will be liable only for whatever benefit you would have realized up to the time by which you should have notified us, as specified earlier in “Monitoring Your Account.”
Appears in 1 contract
Samples: Customer Agreement
Moderately Aggressive. This risk tolerance indicates you want to outperform stock market indices when the markets go up but are aware of and accept the fact that your account will likely be down more than the market indices when the stock markets perform poorly. You are willing to accept more risk than the average investor for the potential of greater returns. Aggressive: This risk tolerance indicates you want to substantially outperform the stock market and are willing to accept the higher degree of risk associated with seeking returns that outperform. You are very aware that a similar level of outperformance when markets are performing well can negatively impact you when markets are not faring fairing well. You accept a high level of risk with the potential for greater returns. Speculative: This risk tolerance indicates you are comfortable with the highest level of risk and the highest average possibility for loss of initial investment value in exchange for higher potential to profit from an anticipated price move. USA PATRIOT ACT NOTICE In order to combat terrorism and illegal money-laundering activities, and help the government fight financial crimes, Federal law and contractual obligations between SAI and the Clearing Firm require requires that we verify your identity by obtaining your name, date of birth, address, and a government- government-issued identification number before opening your account. In certain circumstances, we may obtain Although all entities that provide services to your account strive to ensure the quality and verify this information with respect to any person(s) authorized to effect transactions in an account. For certain entitiesreliability of those services, such as trusts, estates, corporations, partnerships, or other organizations, additional identifying documentation may also be required. Your account may be restricted and/or closed if we or the Clearing Firm cannot verify this information. Neither neither we nor the Clearing Firm will can be responsible for the availability, accuracy, timeliness, completeness, or security of any service related to your account. These services are provided “as is” and “as available”. You therefore agree that we and The Clearing Firm are not responsible to you for any losses (meaning claims, damages, actions, demands, investment losses, direct or damages (includingindirect, but not limited toincidental, lost opportunities) resulting from any failure to provide this informationspecial, punitive, consequential, or from other losses, as well as any restriction placed uponcosts, charges, attorneys’ fees, or closing ofother fees and expenses) that you incur as a result of conditions beyond our control or any agreement between the Parties. This includes, for example: • Any action that is done in accordance with the procedures described in this Agreement or an applicable mutual fund or securities prospectus or Insured Deposit Program Terms and Conditions or other investment description. • The acceptance and processing of any order or transaction placed in your account, whether received electronically or through other means, as long as the order appears to be authentic. • Investment decisions or instructions placed in your account or other such actions attributable to you or any authorized person including your Representative. • Occurrences related to governments or markets, such as rules and regulations, restrictions, suspensions of trading, bank closures or bank regulatory, legal or other limitations or restrictions or high market volatility or trading volumes. • Uncontrollable circumstances in the world at large, such as wars, terrorist activities, earthquakes, power outages, or unusual weather conditions. • Occurrences related to computers and communications, such as a network or systems failure, a message interception, or an instance of unauthorized access or breach of security over which we have no control or reasonable ability to know it has occurred (such as theft of your personal information by a third party, spyware or malware on your computer) or other actions or inactions by you resulting in unauthorized activities in your account. • Telephone requests for money transfers, so long as we transmit the proceeds to you or the bank account number identified by you. • Any checks or other debits to your account that are not honored because the account has insufficient funds. If any service failure is determined to be our responsibility, we will be liable only for whatever benefit you would have realized up to the time by which you should have notified us, as specified earlier in “Monitoring Your Account.”
Appears in 1 contract
Samples: Customer Agreement
