This End-User License Agreement (this “Agreement”) governs your access to and use of Rockefeller Capital Management and its affiliates’ (collectively, “Rockefeller’s”) Internet-based asset aggregation and bill pay service, as may be amended from time to time (the “Product”). This Agreement incorporates and includes the terms of the Electronic Delivery Agreement, attached as Exhibit A.
PLEASE READ THIS AGREEMENT CAREFULLY. BY CLICKING “I AGREE” OR ACCESSING OR IN ANY WAY USING THE PRODUCT, YOU SIGNIFY YOUR ASSENT TO AND ACCEPTANCE OF THIS AGREEMENT AND ACKNOWLEDGE THAT YOU HAVE READ AND YOU UNDERSTAND THESE TERMS.
- Subject to your compliance with the terms and conditions of this Agreement, Rockefeller hereby grants you a nonexclusive, nontransferable license for the term of this Agreement to access through the Internet and use the Product. You may not, and will not allow or cause any third party to: (a) decompile, reverse engineer, disassemble, attempt to derive the source code of, or modify any portion of the Product, or use the Product to develop similar functionality; (b) copy any portion of the Product, except as expressly permitted by this Agreement; (c) sublicense, distribute, export or resell any portion of the Product or otherwise transfer any rights; (d) remove any proprietary or intellectual property rights notices or labels on the Product; (e) attempt to gain unauthorized access to, interfere with, damage, or disrupt any parts of the Product, or any server, computer, or database connected to the Product; or (f) otherwise exercise any other right to the Product not expressly granted in this Agreement. Rockefeller, or its licensors, own all right, title and interest in and to the Product. No license or other right in or to the Product is granted to you except for the rights specifically set forth in this Agreement. You agree not to assign, sublicense or otherwise convey or transfer your rights under this Agreement to another person or entity.
- You are the only authorized user of the Product under this Agreement. Data, information and services accessible through the Product may be displayed, reformatted and printed for your personal, noncommercial use only. You agree to keep confidential and not cause or permit such data, information or services to be published, broadcast, retransmitted, reproduced, commercially exploited or otherwise re- disseminated. You agree not to create any derivative works (including databases) based on the Product or any data, information or services contained therein.
- To access Product and communications made through the Product, you must have a device that can connect to the internet, an internet connection and a compatible operating system. Access fees from your internet service provider may apply. Your access to the Product may be governed by agreements required by third-party providers in connection with your use of your device, telephone, wireless, and other services.
- You acknowledge the Product may involve the transmission by and/or to you of information that may be considered personal financial information. You acknowledge that Rockefeller may combine account information collected from unaffiliated, third-party brokerage firms and other financial institutions for aggregation purposes. Any account information obtained by Rockefeller for aggregation purposes will be made available in the Product and may be accessed by Rockefeller and its employees to service your account. You consent to the transmission by electronic means of such information through the Product, such consent shall be effective at all times that you use the Product. You acknowledge that there are security, reliability, data corruption, transmission error, accessibility, availability, and related risks associated with access to and use of the Internet. You further acknowledge that Rockefeller cannot assure the security of electronic transmission of such information over the Internet. You therefore assume all such risks and agree that Rockefeller is not responsible for any unauthorized access, systems delays, outages, data loss, data corruption, inability to use the Product, or other problems that arise when you try to access or use the Product.
- Your use of the Product may require your receipt from Rockefeller and use of a unique identification number (“ID“) and associated password (“Password“). You hereby agree to maintain your ID and Password in strict confidence. You understand that you shall be solely responsible for all orders entered through the Product using your ID and Password. Rockefeller may at all times rely upon and act in accordance with any instructions or inquiries, whether written, oral, electronic, or otherwise. All instructions communicated to us using your ID and Password will be considered to have been sent by you. Due to the nature of the Internet, the limited security mechanisms associated with the Product and the inherent limitations of such mechanisms, Rockefeller cannot ensure the privacy, security or authenticity of your communications with the Product. Accordingly, you must assess whether the use of the Product or the Internet is adequately secure to meet your particular needs. Further information on this topic may be obtained from Rockefeller. The use and storage of any information, including without limitation, the ID, the Password, transaction activity, account information, and any other information available on your personal computer, is at your own risk and is your sole responsibility. You are responsible for providing and maintaining the communications equipment (including personal computers and modems) and telephone or alternative services required for accessing and using the Product and for all communications service fees and charges incurred by you in accessing the Product.
- You agree that any information furnished to you through the use of the Product shall be subject to the following terms and conditions
- You shall immediately notify Rockefeller if there is unauthorized use of your ID, Password or other security data.
- You shall immediately notify Rockefeller if there is a discrepancy in any of your accounts.
- You shall immediately notify Rockefeller of any other type of discrepancy or suspicious or unexplained occurrence relating to the Product.
- You acknowledge and agree that the Product contains content (including information, data, software, photographs, graphics, text, images, logos, icons, typefaces, audio and video material, and other material) (collectively, “Content”) that is protected by copyrights, trademarks, or other proprietary rights, and that these rights are valid and protected in all forms, media, and technologies existing now or later developed. You further acknowledge and agree that title to (a) the Product, the Content and each component, copy and modification thereof and thereto, including but not limited to all derivative works, improvements or upgrades (collectively, “Derivative Works”) whether made by Rockefeller, you or on Rockefeller’s or on your behalf, including those made at your suggestion, and (b) all content and/or information provided to you through the Product, and all associated intellectual property rights in each case, are and shall remain the sole and exclusive property of Rockefeller, its affiliates and/or its licensors. You agree to assign, and hereby irrevocably and unconditionally assign to Rockefeller, in perpetuity and without further consideration, all right, title and interest in and to all Derivative Works created by or on behalf of you, and all intellectual property rights therein or relative thereto. To the extent such intellectual property rights cannot (as a matter of law) be assigned by you to Rockefeller, you hereby unconditionally and irrevocably grant to Rockefeller a perpetual, non-terminable, exclusive (without reservation), royalty-free, fully-paid, right and license, with the right to sublicense through multiple tiers of sublicensees, under any and all such rights: (i) to reproduce, create derivative works of, distribute, publicly perform, publicly display, digitally transmit and otherwise use the Derivative Works in any medium or format, whether now known or hereafter discovered; (ii) to use, make, have made, sell, offer to sell, import, and otherwise exploit any product or service based on, embodying, incorporating or derived from the Derivative Work(s); and (iii) to exercise any and all other present or future rights in the same. You also confirm that any relevant moral rights in the Derivative Works have been waived, or if such rights are unwaivable, you agree to not enforce such rights, and for the avoidance of doubt this waiver and agreement shall extend to Rockefeller’s licensees and successor(s) in title. At Rockefeller’s request and expense, you shall execute and deliver such instruments and take such other action as may be reasonably requested by Rockefeller to perfect or protect Rockefeller’s rights in the Derivative Works.
- You may from time to time provide suggestions, comments and feedback to Rockefeller concerning the Product, including, without limitation, identifying potential errors and improvements (collectively “Feedback”). Feedback which is provided by you to Rockefeller in connection with this Agreement may be freely used by Rockefeller to improve or enhance its products and services, including but not limited to the Product, and, accordingly, you hereby assign to Rockefeller all right, title and interest in and to such Feedback without restriction.
- You acknowledge and agree that there may be no adequate remedy at law for your breach of the terms of Sections 7 and 8 of this Agreement, and that such a breach may irreparably harm Rockefeller, its affiliates and/or licensors, and that Rockefeller is entitled to equitable relief (including, without limitation, injunctions, and without the posting of a bond) with respect to any such breach or potential breach in addition to any other remedies.
- All notifications to Rockefeller pertaining to this Agreement should be sent directly to your Private Wealth Advisor unless otherwise specified. As a condition of being approved to use the Product you represent and agree that the following statements are and will continue to be true for so long as you have access to the Product:
- You will not use or distribute any information that you access through the Product that is provided by a national securities exchange or association in connection with any professional or commercial activities, and you agree to notify Rockefeller if you intend to do so, and, if such retransmission rights can be obtained, to pay any additional charges in connection therewith;
- You will use the information that you access through the Product solely in connection with your account with Rockefeller and other financial institutions;
- If you are employed by a bank or insurance company or an affiliate of either to perform functions related to securities or commodity futures trading activity, you will not perform functions related to securities or commodities futures trading or business activities except with respect to your account with Rockefeller.
- You understand that Rockefeller and its affiliates and licensors provide information concerning and through the Product solely for your informational use. Your official statements and confirmations contain the most accurate information on your account holdings. Values shown on your official account statements may differ from the values shown through the Product due to, different reporting methods, delays, market conditions and interruptions. If there are discrepancies between your official statements and the Product, rely on your official account statements. Information provided through the Product is subject to change and Rockefeller is not obligated to notify you of these changes. Information may be condensed and is not intended as an offer or solicitation with respect to the purchase or sale of any security. Do not take any action based on information you see in or through the Product without first confirming its accuracy and completeness. Neither Rockefeller nor any of its affiliates or licensors shall be liable in any way, and you agree to indemnify and hold harmless each such party, for (a) any inaccuracy, error or delay in, or omission of (i) any such data, information or message or (ii) the transmission or delivery of any such data, information or message, or (b) any loss or damage arising from or occasioned by (i) any such inaccuracy, error, delay or omission, (ii) nonperformance, or (iii) interruption of any such data, information or message, due either to any act or omission not constituting gross negligence or willful misconduct by any such party or to any “force majeure” (i.e., flood, extraordinary weather conditions, earthquake or other act of God, fire, war, insurrection, riot, labor dispute, accident, action of government, telecommunications or power failure, equipment or software malfunction) or any other cause beyond the reasonable control of any disseminating party.
- Certain content, which may be available through your access and/or use of the Product, including through hyperlinks to third-party web sites, is supplied by companies that are not affiliated with Rockefeller. Unless otherwise noted, Rockefeller has not been involved in the preparation, adoption, or editing of third-party content and does not explicitly or implicitly endorse or approve such content. Third-party content is provided for informational purposes only. Rockefeller does not guarantee the accuracy, timeliness, completeness, or usefulness of this content and is not responsible or liable for such content.
- The Product may include facts and analysis of certain persons and entities. Rockefeller does not guarantee the accuracy, completeness or timeliness of, or otherwise endorse, these facts or analyses, give investment advice, or advocate the purchase or sale of any security through this product.
- Although Rockefeller makes available to you information through this Product, you agree that all transactions are at your sole risk and have not been solicited by Rockefeller (unless otherwise marked on the transaction confirmation) nor any of its information providers. Further, you understand that neither Rockefeller nor its agents provide tax or legal advice.
- Rockefeller offers you various ways of accessing the Product, including online services. You agree that should you experience any problems in reaching Rockefeller through any particular method, you will attempt to use alternate methods to communicate with Rockefeller.
- Your account may permit transfers to other accounts. In general, your use of the Product for electronic funds transfers other than those for which the primary purpose is the purchase or sale of securities (“Covered Transfers”) is covered under the Electronic Fund Transfer Act and the Consumer Financial Protection Bureau’s Regulation E and related laws and regulations. The following terms and disclosures apply to Covered Transfers. You can print this information by using your Internet browser’s “print screen” function.
- Unauthorized Transfers. You will notify Rockefeller promptly if you believe your password has been lost or stolen or may have been used without your permission. Telephoning Rockefeller is the best way of keeping your possible losses down. If you believe your password has been lost or stolen, and you tell Rockefeller within two (2) business days after you learn of the loss or theft, you can lose not more than $50 for Covered Transfers if someone used your password without your permission. If you do NOT tell Rockefeller within two (2) business days after you learn of the loss or theft of your password, and Rockefeller can prove that Rockefeller could have prevented any unauthorized use if you had told Rockefeller, you could lose as much as $500. Also, if your statement shows Covered Transfers that you did not make, you will tell Rockefeller promptly. If you do not tell Rockefeller within sixty (60) days after the first statement was mailed to you, you may not get back any money you lost after sixty (60) days if Rockefeller can prove that Rockefeller could have stopped someone from taking the money if you had told Rockefeller in time. In extenuating circumstances, Rockefeller may extend such time periods. Additional protection may be available from Rockefeller for specific accounts under certain circumstances.
- Stop Payment Procedures. If you have told Rockefeller in advance to make regular Covered Transfers out of your account, you can stop any of these payments by calling or writing to Rockefeller. Your notice must be made in time for Rockefeller to receive your request at least three (3) business days or more before the payment is scheduled to be made. If you call, Rockefeller may, as an additional measure, require you to put your request in writing and get it to them within fourteen (14) days after you call. Unless otherwise provided, you may not stop payment of electronic funds transfers; therefore, you should not employ electronic access for purchases or services unless you are satisfied that you will not need to stop payment.
- Rockefeller’s Liability for Failure to Make Covered Transfers. If Rockefeller, or National Financial Services LLC (“NFS”) acting on Rockefeller’s behalf as its clearing broker-dealer, does not complete a Covered Transfer to or from your account on time or in the correct amount according to Rockefeller’s agreement with you, Rockefeller may be liable for your losses or damages. However, there are some exceptions. Rockefeller will not be liable for instance:
- If, through no fault of Rockefeller’s, you do not have enough money in Rockefeller account to make the Covered Transfer.
- If the money in Rockefeller account is subject to legal process or other claim restricting such transfer.
- If the transfer would exceed your margin availability, if any.
- If circumstances beyond Rockefeller’s control (such as fire or flood) prevent the transaction, despite reasonable precautions taken by Rockefeller.
- If there was a technical malfunction which was known to you at the time you attempted to initiate a Covered Transfer.
- There may be other exceptions stated in your agreements with Rockefeller.
- Error Resolution. In the case of errors or questions about your Covered Transfers, you will call or write Rockefeller, promptly. You will call or write Rockefeller if you think your statement is wrong or if you need more information about a Covered Transfer on your account statement. Rockefeller must hear from you no later than 60 days after Rockefeller sent the FIRST statement on which the problem or error appeared.
- Tell Rockefeller your name and account number.
- Describe the error or the Covered Transfer that you are unsure about, and explain as clearly as you can why you believe it is an error or why you need more information.
- Tell Rockefeller the dollar amount of the suspected error.
- If you notify Rockefeller orally, Rockefeller may require that you send in your complaint or question in writing within ten (10) business days. Rockefeller will tell you the results of its investigation within ten (10) business days after Rockefeller hears from you and will correct any error promptly. If Rockefeller needs more time, however, it may take up to forty-five (45) days to investigate your complaint or question. If Rockefeller decides to do this, it will credit your account within 10 business days for the amount that you think is in error, so that you will have the use of the money during the time it takes Rockefeller to complete its investigation. If Rockefeller asks you to put your request or question in writing and it does not receive it within 10 business days, Rockefeller may not credit your account. If Rockefeller decides that there was no error, Rockefeller will send you a written explanation within three (3) business days after Rockefeller finishes the investigation. You may ask for copies of the documents that Rockefeller used in the investigation.
- As provided below, you understand that Rockefeller will not be liable for any losses, including lost profits, or other damages resulting from the delay or loss of use of the Product, defective or unavailable market data, erroneous or duplicate transactions.
- THE PRODUCT MAY CONTAIN TECHNICAL AND OTHER ERRORS AND LIMITATIONS AND IS PROVIDED “AS IS” WITHOUT WARRANTY OF ANY KIND. ROCKEFELLER AND ITS LICENSORS CANNOT AND DO NOT WARRANT THE ACCURACY, COMPLETENESS, CURRENTNESS, NON-INFRINGEMENT, SECURITY, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OF THE PRODUCT AND ALL INFORMATION MADE AVAILABLE THROUGH THE PRODUCT. THE ENTIRE RISK AS TO RESULTS AND PERFORMANCE OF THE PRODUCT, INCLUDING THE ENTRY OF ORDERS TO SELL AND BUY SECURITIES, IS ASSUMED BY YOU. SOME STATES DO NOT ALLOW LIMITATIONS ON HOW LONG AN IMPLIED WARRANTY LASTS, SO THE ABOVE LIMITATION MAY NOT APPLY TO YOU. YOU MAY HAVE ADDITIONAL RIGHTS THAT VARY FROM STATE TO STATE OR BY JURISDICTION.
- TO THE MAXIMUM EXTENT PERMITTED BY LAW, UNDER NO CIRCUMSTANCES AND UNDER NO LEGAL THEORY, TORT, CONTRACT, OR OTHERWISE, SHALL ROCKEFELLER, ITS AFFILIATES OR LICENSORS, OR ANYONE ELSE INVOLVED IN THE CREATION, PRODUCTION OR DELIVERY OF THE PRODUCT BE LIABLE FOR ANY INDIRECT, INCIDENTAL OR CONSEQUENTIAL DAMAGES, SUCH AS, BUT NOT LIMITED TO, LOSS OF ANTICIPATED PROFITS OR BENEFITS ARISING OUT OF THE USE, RESULTS OF USE, OR INABILITY TO USE THE PRODUCT, EVEN IF THEY HAVE BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES OR CLAIMS.
- This Agreement and your rights hereunder may be terminated by Rockefeller at any time. In the event of termination, Rockefeller will immediately notify you in writing. Your access to the Product, and your ability to conduct financial transactions through the Product, will cease as of the effective date of termination. The obligations and liabilities of the parties incurred prior to the termination date shall survive the termination of this Agreement for all purposes.
- This Agreement shall be governed by the laws of the State of New York, excluding its conflicts of law provisions.
- This Agreement contains a pre-dispute arbitration clause. Under this clause, you and Rockefeller agree as follows:
- All parties to this Agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
- Arbitration awards are generally final and binding; a party’s ability to have a court reverse or modify an arbitration award is very limited.
- The ability of the parties to obtain documents, witness statements, and other discovery is generally more limited in arbitration than in court proceedings.
- The arbitrators do not have to explain the reason(s) for their award unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date.
- The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
- The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
- The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this Agreement.
- All controversies that may arise between you and Rockefeller concerning any subject matter, issue or circumstance whatsoever, including, but not limited to, controversies concerning any account, order, advice interaction or transaction, or the continuation, performance, interpretation or breach of this Agreement, shall be determined by arbitration in accordance with the rules then prevailing of the Financial Industry Regulatory Authority (FINRA) or any United States securities self-regulatory organization or United States securities exchange of which the person, entity or entities against whom the claim is made is a member, as you may designate.
- If you designate the rules of a United States self-regulatory organization or United States securities exchange and those rules fail to be applied for any reason, then you shall designate the prevailing rules of any other United States securities self-regulatory organization or United States securities exchange of which the person, entity or entities against whom the claim is made is a member. If you do not notify Rockefeller in writing of your designation within five (5) days after such failure or after you receive from Rockefeller a written demand for arbitration, then you authorize Rockefeller to make such designation on my behalf. The designation of the rules of a United States self-regulatory organization or United States securities exchange is not integral to the underlying agreement to arbitrate. You understand that judgment upon any arbitration award may be entered in any court of competent jurisdiction.
- No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has initiated in court a putative class action; or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (i) the class certification is denied; or (ii) the class is decertified; or (iii) the customer is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this Agreement except to the extent stated herein.
- This Agreement is the complete and exclusive statement of obligations and responsibilities of Rockefeller and its licensors to you and supersedes any other agreement or understanding, whether written or oral, by or on behalf of Rockefeller relating to the provision and use of the Product.
- Rockefeller may revise the terms of this Agreement. When the terms are revised, Rockefeller will notify you by posting a revised version of the Agreement. Your use of the Product under the revised terms requires your affirmative acceptance of such terms by clicking the “Accept” button before accessing the Product. If any provision of this Agreement is invalid or unenforceable under applicable law, the remaining provisions will continue in full force and effect.
- Rockefeller Capital Management is the marketing name for Rockefeller Capital Management L.P. and its affiliates. Investment advisory and fiduciary activities are performed by the following affiliates of Rockefeller Capital Management: Rockefeller & Co. LLC, Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). Rockefeller Asset Management and Rockefeller Global Family Office are divisions of Rockefeller & Co. LLC. Rockefeller Financial LLC is dually registered as a broker dealer and registered investment adviser with the US Securities Exchange Commission, Member FINRA and SIPC. Check the background of financial professionals on FINRA’s BrokerCheck website: http://brokercheck.finra.org.
- Investing involves risk, including the possible loss of principal. Past performance is no guarantee of future results and no investment or financial planning strategy can guarantee profit or protection. Neither Rockefeller Capital Management or its financial advisors provide legal, tax nor accounting advice to clients. Please consult your own legal and/or tax advisors in connection with financial decisions.
- Investment, insurance and annuity products offered through Rockefeller are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Electronic Delivery Agreement
To receive electronic notification that documents are available for you to view online in an electronic format rather than receiving paper documents through the U.S. Mail, you must confirm your consent by reviewing and agreeing to the terms and conditions of this Agreement and by indicating your selection(s) on the Web site page provided to you.
Please be sure to read this Agreement in its entirety as it contains important information that is required by law to be provided to you.
Currently, certain documents are not included in the electronic notification program and will continue to be delivered to you via U.S. Mail. However, in the future some or all of these documents may be made available for you to view online in accordance with this Agreement.
If at any time after consenting to the electronic notification program you wish to receive a paper copy of a document made available to you for online viewing, you will need to request such paper copy from your broker-dealer and/or their agents, who may charge you a fee for such copy.
Notification of Availability of Documents
Rockefeller or its agents will notify you by e-mail or other electronic means when an account statement, possibly with related inserts, trade confirmation and related prospectuses, tax forms*, or other documents are available for online viewing. If you select to receive shareholder reports (including prospectuses) and other documents, documents may include communications from issuers and other third parties. These documents include, but are not limited to, prospectuses (except prospectuses related to trade confirmations which must be individually selected), periodic shareholder reports, proxy statements, and other legal and regulatory notices and documents. If you select to receive Third Party Quarterly Performance Reports, documents may include performance reports and regulatory notices, such as privacy policies and other required disclosures, and other documents from third parties. If any documents are not made available electronically, you will receive the printed documents. If you select to receive statements and related inserts, inserts may include, but are not limited to, marketing documentation and documentation required to be provided to you pursuant to regulatory rules, such as privacy policies and other important information regarding your account. Rockefeller is not responsible for the content or accuracy of any documents created or prepared by third parties.
The electronic notification you receive will include a link or Internet address (URL) where the document(s) can be accessed, viewed, and printed, and you will be provided with instructions on how to access the documents.
In the future, you will receive instructions on how to access these documents or other documents if they become available in a different location.
If you have difficulty viewing documents electronically, you will need to contact your broker-dealer and/or their agents to have them address any such issues.
If you have provided a correct e-mail address of record and you experience difficulty in receiving the e-mail notification electronically, it may be necessary for you to contact your Internet service provider for further assistance.
Changing Selections or Revoking Consent
You may revoke your consent to receive electronic notification or change your document delivery preferences at any time. Please note that there may be a short delay before your revocation is implemented. Unless revoked by you, your consent to receive electronic notification is effective until further notice by Rockefeller. Furthermore, Rockefeller reserve the right to revert any documents you have chosen to view online back to paper delivery at any time.
You may revoke your consent, change or verify your preferences, and update your e-mail address of record by visiting the Web site page provided to you. Please note that if you revoke your election(s), this will result in such document(s) being mailed to you in paper form through the U.S. Mail and you will no longer receive electronic notification when new documents are available to be viewed online.
Accounts in a Household
If you, as part of a household, have consented to electronic notification, such documents will be available online only and will no longer be included within the envelope you currently receive through U.S. Mail containing any other householded documents.
However, the account values for all household accounts will continue to be provided on the Consolidated Summary of Accounts statement which will continue to be provided via U.S. Mail and online. In the event that all accounts in the household choose electronic notification, then documents will be provided electronically, including the Consolidated Summary of Accounts statement.
Please note that if you are part of a household that has consented to electronic delivery of some or all documents and at some point in the future an account or transaction that is excluded from electronic delivery is associated with the household, this may cause your entire electronic delivery election to be revoked.
If you have elected to receive a combined statement, including both your brokerage account information and your bank account information (whether through your broker-dealer, investment representative, or bank representative), by consenting to electronic notification, herein, you are consenting to view your combined statement through the Internet at the Internet address (URL) provided by your broker-dealer. You will no longer receive paper copies of your bank or brokerage account statement by U.S. Mail.
E-mail Address of Record for Accounts with Joint and/or Multiple Owners
We have this e-mail address on file as the e-mail address of record on the account(s) associated with an account owner. Only one account owner’s authorization is required to enroll in or initiate electronic notification. The e-mail address of record will be the only e-mail address that electronic notification will be sent to when documents are available for viewing. The e-mail address of record must be the e-mail address of an account owner who has authority to make transactions and act on behalf of the account.
If you have designated one or more interested parties to receive copies of your account statements, trade confirmations, or other documents, they will continue to receive copies of such documents via U.S. Mail.
Information on Systems Requirements
In the event that any documents exceed the maximum data capacity for online viewing and are unable to be provided to you in an electronic format, Rockefeller or its agents will revert such documents you have chosen to view online back to paper delivery. You will continue to be enrolled in the electronic notification program and, when possible, future documents will continue to be provided to you electronically. In the event, however, that it is not feasible or possible to make future documents available for you to view online, Rockefeller or its agents reserve the right to unenroll you from the electronic notification program at any time and revert any documents you have chosen to view online back to paper delivery.
If you do not have the ability to access, print, and/or retain PDF documents, do not consent to this Electronic Notification Agreement. By electing to participate in the electronic notification program, you confirm that your personal computer is equipped with the Adobe Acrobat Reader and that you have the ability to access, print, and/or retain PDF documents.
Acceptance and Consent
To consent to the terms of electronic notification program as described above, please read the following statement carefully before acceptance:
I have read, understand, and agree to be bound by the terms and conditions described above. By clicking the “I Agree” button below, I consent to receive electronic documents according to the process described above. I understand that I may incur costs, including but not limited to online time and other charges from my Internet service provider, in accessing and/or viewing such document(s).
I understand and agree that: (i) certain documents will continue to be delivered to me via U.S. Mail that are not included in the electronic notification program and that in the future some or all of these documents may be made available for me to view online in accordance with this Agreement; (ii) my consent to view documents electronically does not automatically expire and is not limited as to duration; (iii) Rockefeller and/or its designees or agents may revoke my participation in the electronic notification program at any time at their discretion; (iv) neither Rockefeller nor its agents will be liable for any loss, liability, cost, expense, or claim for acting upon this authorization or arising from my use of the product or services provided pursuant to this Agreement; (v) by selecting electronic delivery of shareholder reports (including prospectuses) and other documents, I understand that my selection constitutes a global consent for all future account documents (not including trade confirms and confirming prospectuses) and revocation of my consent will result in revocation of electronic delivery for all documents covered by the global consent, and (vi) inserts that may be provided along with my account statements contain important information or disclosures concerning my account and I agree to review such inserts in a timely manner.