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It defines party representations, FINRA/SEC standing obligations, exclusive product sales authorization, supervision and oversight duties by PCS, compensation framework references, record ownership and retention, and confidentiality and privacy obligations under applicable securities and privacy 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nto by and between Private Client Services, LLC, with a principal mailing address of 2225 Lexington Road, Louisville, Kentucky, 40206 (“PCS”), and  , with a mailing address of  ,(the \"Registered Representative\" and, together with PCS, the “Parties”) .  \nWHEREAS, PCS and the Registered Representative enter into this Agreement whereby PCS shall authorize the Registered Representative to sell securities, variable insurance products, variable and fixed annuities, and traditional life and health insurance products on the conditions set forth.  \nThe Parties agree as follows:  \nI.  Representations and Identification of the Parties  \n1.1 PCS is a broker-dealer dually registered and in good standing with the Securities and Exchange Commission (the \"SEC\") under the Securities Exchange Act of 1934 (the “Act”), and with the Financial Industry Regulatory Authority (“FINRA”) . PCS is an SEC-registered investment advisor under applicable Federal and state laws, as well as a licensed life, annuity, and health insurance agency in all jurisdictions in which it conducts or will conduct business. PCS is permitted to engage in these activities pursuant to section 3(a)(4)(B)(i) of the Act and its interpretive releases. PCS will comply with all applicable laws and regulations as well as all rules of all regulatory bodies that exercise jurisdiction over PCS.  \n1.2 The Registered Representative warrants that they are in good standing with FINRA, the SEC, and all state regulatory agencies overseeing securities and insurance activities . The Registered Representative will comply with all applicable laws and regulations as well as all rules of all regulatory bodies that exercise jurisdiction over PCS, its registered representatives, and its licensed insurance agents .  \n1.3 In accordance with the terms of this Agreement, the Registered Representative will be registered with PCS as a registered representative and agrees to be supervised by PCS in accordance with FINRA rules and regulations, the PCS Registered Representative Compliance Manual, PCS WSP manuals, directives, procedures, instructions, memorandums, and like instructions communicated by PCS.  \n1.4 In accordance with the terms of this agreement, the Registered Representative agrees to exclusively sell to customers of PCS only those securities, variable insurance products, variable and fixed annuities, and traditional life and health insurance products which are specifically authorized by PCS.  \nII.  Duties and Responsibilities  \n2.1 PCS will assist the Registered Representative by appointing the Registered Representative with PCS, by providing compliance and regulatory oversight of the Registered Representative, by providing access to errors and omissions insurance protection covering activities relating to the brokerdealer, and by providing access to life, annuity, and health insurance products through insurance carriers with whom PCS conducts business.  \n2.2 As set forth more fully in Section VI of this Agreement, PCS agrees to pay the Registered Representative compensation for services . Services provided by PCS will include executing purchases and sales of securities . As used herein, the term “security” or “securities” shall have the meaning set forth in the Act, as amended, and shall also include all other financial instruments or products included in PCS’s brokerage services program, including without limitation, debt and equity instruments, mutual funds, variable and fixed annuities, and other financial instruments and products approved by appropriate regulatory authorities for sale by registered representatives.  \n2.3 The Parties will maintain a copy of this Agreement at their respective principal mailing address.  \n2.4 The Registered Representative shall own all books, records, customer accounts, relationships, rights","cbCaid68ck0Ou0Qd","https://ap.wps.com/l/cbCaid68ck0Ou0Qd","pdf",4185090,32,"English","# Representations and Identification of the Parties\n## Representations regarding PCS\n## Registered Representative compliance and good standing\n## Registration and supervision terms\n## Exclusive product sales authorization\n# Duties and Responsibilities\n## PCS assistance, oversight, and insurance access\n## Compensation and services scope\n## Maintenance of agreement copies\n## Ownership of books, records, and customer relationships\n## Books and records limitations and transfer at termination\n## Confidentiality and secure recordkeeping\n## Inspection and access to records by regulators","[{\"question\":\"Who are the parties to the Registered Representative Agreement?\",\"answer\":\"The agreement is entered into by Private Client Services, LLC (PCS) and the designated Registered Representative.\"},{\"question\":\"What products may the Registered Representative sell?\",\"answer\":\"The Registered Representative must exclusively sell only securities and specified insurance/annuity products that are specifically authorized by PCS.\"},{\"question\":\"What supervision and compliance support does PCS provide?\",\"answer\":\"PCS provides authorization, compliance and regulatory oversight, access to errors-and-omissions coverage, and access to applicable insurance products, along with supervision in accordance with FINRA rules.\"}]","Private Client Services Registered Representative Agreement | PDF",1789506521]