FINANCIAL ADVISOR CONSULTING AGREEMENT

I. The Parties. This Financial Advisor Consulting Agreement ("Agreement") is made

effective as of ____________________, 20____, by and between:

Financial Advisor: ____________________ with a street address of

____________________, City of ____________________, State of
____________________, ("Financial Advisor")

AND

Client: ____________________ with a street address of ____________________, City

of ____________________, State of ____________________ ("Client").

II. Services. Financial Advisor agrees to provide the following Services:

______________________________________________________________________
___________________________________________________________ ("Services").

III. Term. The Services shall commence on ____________________, 20____, and end:
(check one)
☐ - On the date of ____________________, 20____.
☐ - At completion of the Services performed.
☐ - Upon either party may terminate this Agreement with ____ days’ notice.
☐ - Other. _______________________________________________________.

IV. Compensation. In consideration for the Services provided, the Financial Advisor is
to be paid in the following manner: (check all that apply)
☐ - Per Hour. $____ /hour.
☐ - Per Job. $__________ for the completion of the Services.
☐ - Commission. ____% commission based on ____________________.
☐ - Other. _______________________________________________________.

V. Contingency. As part of the Financial Advisor’s Pay: (check one)

☐ - There SHALL be a contingency-fee arrangement in accordance with:
☐ - ____% of _______________________________________________.
☐ - There SHALL NOT be a contingency-fee arrangement as part of this
Agreement.

VI. Payment. Financial Advisor shall be paid, in accordance with section IV: (check
one)
☐ - On a ☐ weekly ☐ monthly ☐ quarterly basis beginning on
______________________, 20___.
☐ - At completion of the Services performed.
☐ - Upon the Client receiving an Invoice from the Financial Advisor.
☐ - Other. _______________________________________________________.

Page 1 of 6
VII. Retainer. The Client is: (check one)
☐ - Required to pay a Retainer in the amount of $__________ to the Financial
Advisor as an advance on future Services to be provided ("Retainer"). The
Retainer is: (check one)
☐ - Refundable.
☐ - Non-Refundable.
☐ - Not required to pay a Retainer before the Financial Advisor is able to
commence work.

VIII. Expenses. The Financial Advisor is: (check one)

☐ - Responsible for all expenses. The Financial Advisor shall be responsible for
all expenses related to providing the Services under this Agreement. This
includes, but is not limited to, supplies, equipment, operating costs, business
costs, employment costs, taxes, Social Security contributions and/or payments,
disability insurance, unemployment taxes, and any other cost that may or may
not be in connection with the Services provided by the Financial Advisor
including out-of-pocket expenses.
☐ - Reimbursed for ONLY the following expenses: _______________________.
Client agrees to pay the Financial Advisor within thirty (30) days of receiving
notice of any expense directly associated with the Services. Upon request by the
Client, the Financial Advisor may have to show receipt(s) or proof(s) of purchase
for said expense.
☐ - Not required to pay or be responsible for any expense in connection with the
Services provided.

IX. Disputes. If any dispute arises under this Agreement, the Financial Advisor and the
Client shall negotiate in good faith to settle such dispute. If the parties cannot resolve
such disputes themselves, then either party may submit the dispute to mediation by a
mediator approved by both parties. If the parties cannot agree with any mediator or if
either party does not wish to abide by any decision of the mediator, they shall submit
the dispute to arbitration by any mutually acceptable arbitrator, or the American
Arbitration Association (AAA). The costs of the arbitration proceeding shall be borne
according to the decision of the arbitrator, who may apportion costs equally or in
accordance with any finding of fault or lack of good faith of either party. If either party
does not wish to abide by any decision of the arbitrator, they shall submit the dispute to
litigation. The jurisdiction for any dispute shall be administered in
____________________ County, State of ____________________.

X. Legal Notice. All notices required or permitted under this Agreement shall be in
writing and shall be deemed delivered when delivered in-person or deposited in the
United States Postal Service via Certified Mail with return receipt. If different from the
mailing address in Section I, enter below:

Client's Address: ____________________________________________

Financial Advisor's Address: ____________________________________________

Page 2 of 6
XI. Return of Records. Upon termination of this Agreement, the Financial Advisor shall
deliver all records, notes, and data of any nature that are in the Financial Advisor's
possession or under the Financial Advisor's control and that are of the Client's property
or relate to Client's business.

XII. Waiver of Contractual Right. The failure of either party to enforce any provision of
this Agreement shall not be construed as a waiver or limitation of that party's right to
subsequently enforce and compel strict compliance with every provision of this
Agreement.

XIII. Independent Contractor Status. The Financial Advisor, under the code of the
Internal Revenue (IRS), is an independent contractor and neither the Financial Advisor's
employees or contract personnel are, or shall be deemed, the Client's employees. In its
capacity as an independent contractor, the Financial Advisor agrees and represents:
a.) Financial Advisor has the right to perform Services for others during the term
of this Agreement;
b.) Financial Advisor has the sole right to control and direct the means, manner,
and method by which the Services required under this Agreement will be
performed; Financial Advisor shall select the routes taken, starting and ending
times, days of work, and order the work that performed;
c.) Financial Advisor has the right to hire assistant(s) as subcontractors or to use
employees to provide the Services under this Agreement.
d.) Neither Financial Advisor nor the Financial Advisor's employees or personnel
shall be required to wear any uniforms provided by the Client;
e.) The Services required by this Agreement shall be performed by the Financial
Advisor, Financial Advisor's employees or personnel, and the Client will not hire,
supervise, or pay assistants to help the Financial Advisor;
f.) Neither the Financial Advisor nor the Financial Advisor's employees or
personnel shall receive any training from the Client for the professional skills
necessary to perform the Services required by this Agreement; and
g.) Neither the Financial Advisor nor Financial Advisor's employees or personnel
shall be required by the Client to devote full-time to the performance of the
Services required by this Agreement.

XIV. State and Federal Licenses. The Financial Advisor represents and warrants that
all employees and personnel associated shall comply with federal, state, and local laws
requiring any required licenses, permits, and certificates necessary to perform the
Services under this Agreement.

XV. Payment of Taxes. Under this Agreement, the Client shall not be responsible for:
a.) Withholding FICA, Medicare, Social Security, or any other Federal or State
withholding taxes from the Financial Advisor's payments to employees or
personnel or make payments on behalf of the Financial Advisor;
b.) Making Federal and/or State unemployment compensation contributions on
the Financial Advisor's behalf; and
c.) Making payments of taxes incurred while performing the Services under this
Agreement, including all applicable income taxes and, if the Financial Advisor is
not a business entity, all applicable self-employment taxes. Upon demand, the

Page 3 of 6
 Financial Advisor shall provide the Client with proof that such payments have
been made.

XVI. Employees' Compensation. The Financial Advisor shall be solely responsible for
the following:
a.) Employee Benefits. The Financial Advisor understands and agrees that they
are solely responsible and shall be liable to all benefits that are provided to their
employees, including, but not limited to, retirement plans, health insurance,
vacation time-off, sick pay, personal leave, or any other benefit provided.
b.) Unemployment Compensation. The Financial Advisor shall be solely
responsible for the unemployment compensation payments on behalf of their
employees and personnel. The Financial Advisor shall not be entitled to
unemployment compensation with the Services performed under this Agreement.
c.) Workers’ Compensation. The Financial Advisor shall be responsible for
providing all workers' compensation insurance on behalf of their employees. If
the Financial Advisor hires employees to perform any work under this
Agreement, the Financial Advisor agrees to grant workers' compensation
coverage to the extent required by law. Upon request by the Client, the Financial
Advisor must provide certificates proving workers' compensation insurance at
any time during the performance of the Services.

XVII. Indemnification. Financial Advisor shall release, defend, indemnify, and hold
harmless Client and its officers, agents, and employees from all suits, actions, or claims
of any character, name, or description including reasonable Financial Advisor fees,
brought on account of any injuries or damage, or loss (real or alleged) received or
sustained by any person, persons, or property, arising out of services provided under
this Agreement or Financial Advisor's failure to perform or comply with any requirements
of this Agreement including, but not limited to any claims for personal injury, property
damage, or infringement of copyright, patent, or other proprietary rights. Client reserves
the right to retain whatever funds which would be due to the Financial Advisor under this
Agreement until such suits, action or actions, claim or claims for injuries or damages as
aforesaid shall have been settled and satisfactory evidence to that effect furnished.

XVIII. Confidentiality & Proprietary Information. The Financial Advisor acknowledges

that it will be necessary for the Client to disclose certain confidential and proprietary
information to the Financial Advisor in order for the Financial Advisor to perform their
duties under this Agreement. The Financial Advisor acknowledges that disclosure to a
third (3rd) party or misuse of this proprietary or confidential information would
irreparably harm the Client. Accordingly, the Financial Advisor will not disclose or use,
either during or after the term of this Agreement, any proprietary or confidential
information of the Client without the Client's prior written permission except to the extent
necessary to perform the Services on the Client's behalf.

Proprietary or confidential information includes, but is not limited to:

a.) The written, printed, graphic, or electronically recorded materials furnished by
Client for Financial Advisor to use;
b.) Any written or tangible information stamped "confidential," "proprietary," or
with a similar legend, or any information that Client makes reasonable efforts to
maintain the secrecy of, business or marketing plans or strategies, customer

Page 4 of 6
 lists, operating procedures, trade secrets, design formulas, know-how and
processes, computer programs and inventories, discoveries and improvements
of any kind, sales projections, and pricing information; and
c.) Information belonging to customers and suppliers of the Client about whom
the Financial Advisor gained knowledge as a result of the Financial Advisor‘s
Services to the Client.

Upon termination of the Financial Advisor's Services to the Client, or at the Client's
request, the Financial Advisor shall deliver all materials to the Client in the Financial
Advisor's possession relating to the Client's business. The Financial Advisor
acknowledges any breach or threatened breach of confidentiality under this Agreement
will result in irreparable harm to the Client for which damages would be an inadequate
remedy. Therefore, the Client shall be entitled to equitable relief, including an injunction,
in the event of such breach or threatened breach of confidentiality. Such equitable relief
shall be in addition to the Client's rights and remedies otherwise available at law.

Furthermore, proprietary information, under this Agreement, shall include:

a.) The product of all work performed under this Agreement ("Work Product"),
including without limitation all notes, reports, documentation, drawings, computer
programs, inventions, creations, works, devices, models, works-in-progress and
deliverables, will be the sole property of the Client, and Financial Advisor hereby
assigns to the Client all right, title, and interest therein, including, but not limited
to, all audiovisual, literary, moral rights and other copyrights, patent rights, trade
secret rights, and other proprietary rights therein. Financial Advisor retains no
right to use the Work Product and agrees not to challenge the validity of the
Client's ownership in the Work Product;
b.) Financial Advisor hereby assigns to the Client all right, title, and interest in
any and all photographic images and videos or audio recordings made by the
Client during Financial Advisor's work for them, including, but not limited to, any
royalties, proceeds, or other benefits derived from such photographs or
recordings; and
c.) The Client will be entitled to use the Financial Advisor's name and/or likeness
in advertising and other materials.

XIX. Assignment and Delegation. The Financial Advisor may assign rights and may
delegate duties under this Agreement to other individuals or entities acting as a
subcontractor ("Subcontractor"). The Financial Advisor recognizes that they shall be
liable for all work performed by the Subcontractor and shall hold the Client harmless of
any liability in connection with their performed work.

The Financial Advisor shall be responsible for any confidential or proprietary information
that is shared with the Subcontractor in accordance with this section. If any such
information is shared by the Subcontractor to third (3rd) parties, the Financial Advisor
shall be made liable.

XX. Governing Law. This Agreement shall be governed under the laws in the State of
____________________.

Page 5 of 6
XXI. Severability. This Agreement shall remain in effect in the event a section or
provision is unenforceable or invalid. All remaining sections and provisions shall be
deemed legally binding unless a court rules that any such provision or section is invalid
or unenforceable, thus, limiting the effect of another provision or section. In such case,
the affected provision or section shall be enforced as so limited.

XXII. Additional Terms and Conditions. ____________________________________

______________________________________________________________________
______________________________________________________________________

XXIII. Entire Agreement. This Agreement, along with any attachments or addendums,
represents the entire agreement between the parties. Therefore, this Agreement
supersedes any prior agreements, promises, conditions, or understandings between the
Client and Financial Advisor. This Agreement may be modified or amended if the
amendment is made in writing and is signed by both parties.

IN WITNESS WHEREOF, the Parties hereto have executed this Agreement on the
dates written hereunder.

Financial Advisor's Signature _________________________

Date _______________

Print Name _________________________

Client's Signature _________________________

Date _______________

Print Name _________________________

Page 6 of 6