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TD Ameritrade RIA NextGen Career Exchange Program
Terms and Conditions

The following Terms and Conditions govern your participation in, and use of, the TD Ameritrade, Inc. ("TDA") RIA NextGen Career Exchange Program (the "Program"). Your use of the Program and/or its services (as defined below) constitutes your acceptance of and agreement to these Terms and Conditions.

1. Program Access

a. The Program is designed to enable independent registered investment advisers ("Advisors") and potential and existing Advisor interns ("Interns") to connect to independently explore potential internship opportunities. The Program will assist Advisors and Interns in gathering information, and will coordinate introductions between Advisors and Interns ("Program Services"). The Program will provide access to the Program Services via a LinkedIn Closed Group, a web based resume portal, webcasts and in person networking events to Advisors and Interns, subject to these terms and conditions. TDA reserves the right to change eligibility criteria and/or disqualify an Advisor and/or an Intern from Program participation at any time.

2. Disclosures Regarding the Program Services

Advisor/Intern acknowledges and agrees to the following related to the Program:

a. Access to the Program and the Program Services does not necessarily lead to or in any way guarantee success for any Advisor and/or Intern in achieving a desired goal or objective. While the Program will provide Advisor and Intern with Program Services intended to promote internship opportunities between Advisor and Intern, there can be no assurance any transaction, internship, employment relationship or business relationship will be achieved. Similarly, if an internship, transaction or relationship is achieved, there can be no assurance that it will have a favorable outcome for Advisor and/or Intern.

b. Through TDA's provision of the Program Services, Advisors that participates in it will obtain access to information about Interns and Interns will obtain access to information about Advisors. TDA has not verified and will not verify the information provided by Advisor and/or Intern and therefore TDA cannot and does not attest to the accuracy of any such information. Advisor and/or Intern will not rely on any information obtained from or provided to them by TDA in connection with any, internship, transaction or employment relationship.

c. Advisor and/or Intern are responsible for conducting their own due diligence. TDA will not conduct due diligence on behalf of Advisor and/or Intern. TDA makes no representations or warranties regarding any Advisor or Intern including but not limited to (i) the fitness, soundness or financial condition of any Advisor or Intern, (ii) the experience, background or credentials of any Advisor or Intern, (iii) any other aspect of any Advisor or Intern's business or background, (iv) any statements, opinions or representations of any Advisor or Intern.

d. TDA has no role or involvement in any discussion or negotiation of any potential internship, employment or business opportunity between Advisor and Intern.

e. TDA does not provide legal, regulatory, employment, tax, financial or investment advice in connection with the Program or any internship, transaction or employment relationship. Advisors and/or Interns wishing to obtain any such advice should consult appropriate third parties such as compliance or employment counsel.

f. The Program may recommend or provide contact information for third party resources that provide services related to the development of potential internship, employment or other business opportunities. Advisor and/or Intern utilizes such resources independent of TDA and at their own risk.

g. The activities associated with the Program Services can pose a risk to Advisor and/or Intern; therefore the Program is not for everyone and whether it is appropriate for a particular Advisor and/or Intern or not, there are still risks. Such risks include, but are not limited to, fraud or other misrepresentation, misuse of confidential information and invasion of privacy. Nothing in the Program shall constitute an endorsement or recommendation by TDA of whether or not an Advisor and/or Intern is fit for Program Services or other activities contemplated hereby.

h. There is no guarantee of a successful outcome for Advisor and/or Intern related to the Program Services. TDA makes no representations or warranties regarding (i) the success of any internship or other business relationship or (ii) the retention of any Interns by any Advisor.

i. Advisor and Intern understand and acknowledge that the Program Services seek to facilitate introductions for the benefit of TDA, Advisors and Interns. However, the Program Services may present a conflict of interest between TDA and/or Advisor and/or Intern. Advisor and/or Intern understands and acknowledges that TDA may put its own interests, or that of any Advisor or Intern, ahead of your interests.

3. Representations of Advisor

Advisor represents, warrants and covenants to TDA as follows:

a. Advisor represents that, to its knowledge after appropriate due diligence, Advisor's receipt of the Program Services will not result in a violation of any applicable law, rule or regulation.

b. Advisor understands and agrees that TDA's Program Services do not constitute an endorsement of any Intern. Advisor accepts all responsibility for evaluating the suitability of the Program Services for Advisor's business purposes, evaluating the suitability of TDA in providing those Program Services, determining the adequacy of the agreements under which these services may be provided, and accepting all risks and liabilities associated with the performance or non-performance of any Intern and/or TDA pursuant to those agreements.

c. Advisor understands and agrees that TDA reserves the right to reject any Advisor and/or Intern presented for Program participation or restrict any Advisor and/or Intern's participation in the Program and that in deciding to admit an Advisor or Intern, TDA may be influenced by its own business prospects with Advisor or Intern.

d. Advisor understands and agrees that any introduction to any Intern resulting from the Program does not constitute an endorsement by TDA. Advisor accepts all responsibility for evaluating the suitability of any referral to any Intern, evaluating the suitability of any Intern for Advisor's business purposes, determining the adequacy of any agreement(s) Advisor may enter into with any Intern, and accepting all risks and liabilities associated with the performance or non-performance of any Intern pursuant to those agreements.

e. Advisor represents and warrants that any and all information it supplies in connection with the Program will be true and correct to the best of its knowledge after appropriate due diligence.

f. Advisor's representations, warranties and covenants herein shall survive any termination of Advisor's Program participation.

4. Representations of Intern

Intern represents, warrants and covenants to TDA as follows:

a. Intern represents that, to its knowledge after appropriate due diligence, Intern's receipt of the Program Services will not result in a violation of any applicable law, rule or regulation.

b. Intern understands and agrees that TDA's Program Services do not constitute an endorsement of any Advisor and that Advisors are not affiliated with, or supervised by, TDA. Intern accepts all responsibility for evaluating the suitability of the Program Services for Intern's internship or business purposes, evaluating the suitability of TDA in providing those Program Services, determining the adequacy of the agreements under which these services may be provided, and accepting all risks and liabilities associated with the performance or non-performance of any Advisor and/or TDA pursuant to those agreements.

c. Intern understands and agrees that TDA reserves the right to reject any Intern or Advisor presented for approval for program participation and that in deciding to admit an Advisor or an Intern TDA may be influenced by its own business prospects with an Advisor or Intern.

d. Intern understands and agrees that any introduction to any Advisor pursuant to the Program does not constitute an endorsement by TDA. Intern accepts all responsibility for evaluating the suitability of any referral to any Advisor, evaluating the suitability of any Advisor for Intern's internship or other business purposes, determining the adequacy of any agreement(s) Intern may enter into with any Advisor, and accepting all risks and liabilities associated with the performance or non-performance of any Advisor pursuant to those agreements.

e. Intern represents and warrants that any and all information it supplies in connection with the Program will be true and correct to the best of its knowledge after appropriate due diligence.

f. Intern's representations, warranties and covenants herein shall survive any termination of Intern's Program participation.

5. Confidentiality

Advisor and/or Intern acknowledges and agrees that, in the course of participating in the Program, Advisor and/or Intern may acquire confidential and proprietary information about other Advisors/Interns (“Confidential Program Information”). Advisor and/or Intern agrees to take all reasonable precautions necessary to safeguard the Confidential Program Information from disclosure to any person or entity other than officers, employees or agents who require access to the Confidential Program Information for the purposes of a potential internship or other business or employment relationship with a particular Advisor or Intern to which the Confidential Program Information relates and not to use the Confidential Program Information for any other purpose. Advisor and/or Intern agrees to treat Confidential Program Information with the same care as its own confidential business information. Advisor and/or Intern will take reasonable steps to ensure that any third parties to whom it may provide access to the Confidential Program Information (such as compliance or employment counsel) avoid disclosure of such information. Confidential Program Information shall not include (1) information generally known to the public, (2) information already known by Advisor/Intern prior to its disclosure; and (3) information independently developed without reference to the Confidential Program Information. Program Advisors and Interns shall be express and intended third party beneficiaries of the protections set forth in this Section 5 (Confidentiality) of this Agreement.

6. Release and Waiver

ADVISOR AND/OR INTERN HEREBY RELEASES TDA AND ITS OFFICERS, DIRECTORS, EMPLOYEES, REPRESENTATIVES, AGENTS AND AFFILIATES (COLLECTIVELY “ITS ASSOCIATES”) FROM ALL LIABILITY, DAMAGES, COSTS OR EXPENSES, AND WAIVES THE RIGHT TO ASSERT ANY CLAIM AGAINST TDA AND ITS ASSOCIATES, ARISING FROM OR OUT OF THE EXECUTION AND DELIVERY OF THE PROGRAM SERVICES, THE EXECUTION AND DELIVERY OF ANY AGREEMENT(S) BY OR BETWEEN ADVISOR AN/OR ANY INTERN(S), THE PERFORMANCE OR NON PERFORMANCE BY TDA AND/OR ITS ASSOCIATES OF THE PROGRAM SERVICES, THE PERFORMANCE OR NON PERFORMANCE BY ANY ADVISOR AND/OR INTERN(S) PURSUANT TO ANY AGREEMENT(S) WITH ADVISOR AND/OR INTERN AND ANY RELATIONSHIP BETWEEN ADVISOR AND/OR INTERN(S). THIS RELEASE AND WAIVER SHALL SURVIVE TERMINATION OF PROGRAM PARTICIPATION.

7. Advisor Indemnification

Advisor agrees to indemnify and hold harmless TDA, its affiliates, directors, officers, employees, and agents from and against any and all claims, actions, costs and liabilities, including attorney's fees, arising out of or relating to: (i) any breach by Advisor of, or failure by Advisor to comply with, any provision of these Terms and Conditions; (ii) any violation by Advisor of any law, rule or regulation in connection with its performance hereunder; and (iii) any claims or demands by any Interns seeking enforcement against TDA of any obligations arising under Interns' agreement(s) with Advisor. Advisor further agrees to pay promptly on demand any and all amounts due to TDA arising from the foregoing. This indemnification obligation shall survive termination of Program Participation.

8. Intern Indemnification

Intern agrees to indemnify and hold harmless TDA, its affiliates, directors, officers, employees, and agents from and against any and all claims, actions, costs and liabilities, including attorney's fees, arising out of or relating to: (i) any breach by Intern of, or failure by Intern to comply with, any provision of these Terms and Conditions; (ii) any violation by Intern of any law, rule or regulation in connection with its performance hereunder; and (iii) any claims or demands by any Advisor seeking enforcement against TDA of any obligations arising under Intern's agreement(s) with such Advisor). Intern further agrees to pay promptly on demand any and all amounts due to TDA arising from the foregoing. This indemnification obligation shall survive termination of Program Participation.

9. Termination

These Terms and Conditions shall continue in effect until termination either by mutual agreement of the parties or upon notice by one party to the other. Notwithstanding the foregoing, TDA reserves the right to terminate any Advisor or Intern from The Program at any time for any reason at its sole discretion.

10. Assignment

These Terms and Conditions may not be transferred or assigned by Advisor/Intern without the prior written consent of TDA.

11. Governing Law

To the extent that state law shall not have been preempted by applicable federal law, these Terms and Conditions shall be administered, construed and enforced according to the internal laws (and not the law of conflicts) of the State of Nebraska.

12. Relationship of Parties

Nothing in these Terms and Conditions shall cause Advisor and/or Intern to be deemed an employee, agent or independent contractor of, or a partner with, TDA. TDA provides the Program Services not as an agent, representative or fiduciary to Advisor, Intern or any other person.