Examples of Associated Persons in a sentence
In the event the CLIENT desires, CLIENT can engage the PLANNER (and/or its Principals and Associated Persons) to implement investment and/or insurance recommendations as more fully discussed in PLANNER’s Disclosure Statement (see paragraph 7 below).
In the event the CLIENT desires to implement investment recommendations on a non-discretionary commission basis, the CLIENT can engage the PLANNER’s Principals and/or Associated Person(s), in their respective individual capacities as registered representatives of Coastal Equities, Inc., an affiliated SEC registered and FINRA member broker-dealer (“Coastal Equities”), to implement investment recommendations on a commission basis.
In the event the CLIENT chooses to implement by purchasing investment products through the PLANNER’s Principals and/or Associated Person(s), in their respective individual capacities as registered representatives of Coastal Equities, brokerage commissions will be charged by Coastal Equities to effect securities transactions, a portion of which commissions shall be paid by Coastal Equities to PLANNER’s Principals and/or Associated Person(s), as applicable.