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In order for the Sequoia Team to work with you prior to you becoming a client, we ask that you read the agreement below, then complete the form to the right to give your authorization to proceed.

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Please Complete The Authorization Form Below


This AGREEMENT is made this as of the date executed below, between the undersigned party, the (“Client”), and Sequoia Financial Group (“Sequoia”), a registered investment adviser, whose principal mailing address is 3500 Embassy Parkway, Suite 100, Akron, Ohio 44333.

  1. Scope of Engagement
    1. The Client engages Sequoia to create and deliver one Financial Plan. Any services beyond the scope of providing a one-time Financial Plan shall be provided under the terms and conditions of a separate agreement, for which a separate and additional fee may be required by Sequoia.
    2. The Client agrees to provide information and/or documentation requested by Sequoia in furtherance of this Agreement. The Client acknowledges that Sequoia cannot adequately perform its consulting services for the Client unless the Client diligently performs its responsibilities under this Agreement. Sequoia shall not be required to verify any information obtained from the Client, Client’s attorney, accountant or other professionals, and is expressly authorized to rely thereon. The Client is free at all times to accept or reject any recommendation from Sequoia, and the Client acknowledges that he/she has the sole authority with regard to the implementation, acceptance, or rejection of any recommendation or advice from Sequoia.
  2. Sequoia Compensation. There is no fee for this one-time service.
  3. Engagement Limitations. Sequoia shall review the Client’s existing situation, and then provide corresponding recommendations and advice, all of which recommendations and advice shall be based exclusively upon the information provided to the Sequoia by the Client. Sequoia cannot guarantee the results of any of its recommendations or advice.
  4. Responsibilities. Sequoia and Client agree and acknowledge the following additional engagement terms and conditions:
    1. The Client acknowledges that investments have varying degrees of financial risk, and Sequoia shall not be responsible for any adverse financial consequences to Client’s investment assets: if such advice, at the time given, was consistent with the Client’s indicated objectives; and,
    2. Sequoia’s services pursuant to this Agreement do not include financial planning implementation services (i.e., estate planning, insurance sales, etc.) or investment implementation, supervisory, management, or reporting services, nor the regular review or monitoring of a Client’s investment portfolio. The Client is free to obtain legal, accounting, insurance and brokerage services from any professional source of the Client's choosing.
  5. Termination. Sequoia's obligations under this Agreement shall terminate upon completion and delivery of the one-time Financial Plan referenced in 1(a) above.
  6. Assignment. This Agreement may not be assigned by either the Client or the Sequoia without the prior written consent of the other party.
  7. Disclosure Documents. Client hereby acknowledges prior receipt of a copy of the Sequoia’s written Disclosure Brochure set forth on Part 2A of Form ADV. Client further acknowledges prior receipt of Sequoia’s Privacy Notice and Form CRS (Relationship Summary). https://www.sequoia-financial.com/disclosures
  8. Arbitration. Subject to the conditions and exceptions noted below, and to the extent not inconsistent with applicable law, in the event of any dispute pertaining to Sequoia’s services under this Agreement, both Sequoia and Client agree to submit the dispute to arbitration in accordance with the auspices and rules of the American Arbitration Association (“AAA”). Any arbitration between the parties hereto shall be held in Akron, Ohio and governed by the laws of the state of Ohio. Sequoia and Client understand that such arbitration shall be final and binding, and that by agreeing to arbitration, both Sequoia and Client are waiving their respective rights to seek remedies in court, including the right to a jury trial. Client acknowledges that it has had a reasonable opportunity to review and consider this arbitration provision prior to the execution of this Agreement. The cost of the arbitration proceeding and any proceeding in court to confirm or to vacate any arbitration award, as applicable (including, without limitation, reasonable attorneys’ fees and costs), shall be borne by the unsuccessful party, as determined by the arbitrators, and shall be awarded as part of the arbitrator’s award. It is specifically understood and agreed that any party may enforce any award rendered pursuant to the arbitration provisions of this Section by bringing suit in any court of competent jurisdiction. The parties agree that the arbitrator shall have authority to grant injunctive or other forms of equitable relief to any party. This Section shall survive the termination or cancellation of this Agreement.

    Governing Law and Venue. This Agreement shall be construed and interpreted in accordance with the substantive laws of the State of Ohio, provided, however, that nothing herein shall be deemed to waive or limit compliance with,or require indemnification for any violations of, any provision of an applicable state securities statute. Subject to the arbitration provisions above, jurisdiction and venue with respect to any dispute arising under this Agreement shall be in the federal and state courts located in Summit County, Ohio. Notwithstanding the foregoing, the parties agree that Federal and state securities laws provide certain rights as to the venue for resolving disputes, and nothing in this Agreement should be deemed a limitation or restriction on any such rights.
  9. Sequoia Liability. The Sequoia shall only be responsible for those services that the Client has specifically designated to be the subject of the Sequoia’s services under this Agreement. The Sequoia, acting in a manner consistent with its fiduciary duty under the Investment Advisers Act of 1940, as amended, shall not be liable for any action, omission, investment recommendation/decision, or loss in connection with this Agreement. The Client acknowledges that investments have varying degrees of financial risk, and that Sequoia shall not be responsible for any adverse financial consequences resulting to the assets when the Sequoia has provided advice consistent with the Sequoia’s fiduciary standard of care. Sequoia does not and cannot guarantee the future performance of any investment, or any specific level of performance, the success of any investment recommendation or strategy that Sequoia may recommend for the account(s), or the success of Sequoia’s overall recommendations. The Client understands that investment decisions and/or recommendations are subject to various market, currency, economic, political and business risks, and that losses can and will occur. The Sequoia will not be liable for acts or omissions of other professionals or third-party service providers, including but not limited to: a broker-dealer, custodian, attorney, accountant, or insurance agent. The federal securities laws impose liabilities under certain circumstances on persons who act in good faith, and therefore, to the extent applicable, no portion of the above shall constitute a waiver or limitation of any rights which the Client may have under any federal or state securities laws, ERISA, or under the rules promulgated by the Employee Benefits Security Administration and/or the Department of Labor.

    To the extent that any portion of the content reflects assumptions and/or projections, no such content should be construed or relied upon as an absolute probability that such an assumption or projection will prove correct or projected result will occur. To the contrary, a different result (positive or negative) can, and most likely will, occur. Materially different results could occur at any specific point in time or over any specific time-period. The purpose of the projections is to provide a guideline to help determine which scenario best meets current and/or anticipated financial situations and/or objectives, with the understanding that either is subject to change, in which event the client should immediately notify SEQUOIA so that the above analysis can be repeated. Please remember that it remains your responsibility to advise SEQUOIA, in writing, if there are any changes in the information provided above
  10. Electronic Delivery. The Client authorizes the Sequoia to deliver, and the Client agrees to accept, all required regulatory notices and disclosures via electronic mail and/or via the Sequoia’s internet web site, as well as all other correspondence from the Sequoia. Sequoia shall have completed all delivery requirements upon the forwarding of such document, disclosure, notice and/or correspondence to the Client’s last provided email address (or upon advising the Client via email that such document is available on the Sequoia’s web site and/or in the Client’s portal). Please Note: It is the Client’s obligation to notify the Sequoia, in writing, of any changes to the Client’s email address. Until so notified, the Sequoia shall rely on the last provided email address. The Client acknowledges that the Client has the ongoing ability to receive and open standard electronic mail and corresponding electronic documents. If, at any time, the Client's electronic delivery situation changes, or the Client is unable to open a specific document, the Client agrees to immediately notify the Sequoia so that the specific issue can be addressed and resolved. Please Also Note: By execution below, the Client releases and holds the Sequoia harmless from any and all claims and/or damages of whatever kind resulting from the Sequoia’s electronic transmission of information, provided that Sequoia has correctly addressed the electronic transmission to the Client and/or other intended recipient.
  11. Authority. Client acknowledges that he/she/they/it has (have) all requisite legal authority to execute this Agreement, and that there are no encumbrances on the Client’s investment assets. Client correspondingly agrees to immediately notify Sequoia, in writing, in the event that either of these representations should change.

IN WITNESS WHEREOF, the Client and Sequoia have each executed this Agreement on the day, month and year this permission was granted.