We use cookies for anonymous analytics to improve our service. No advertising or cross-site tracking. Learn more
Employment Contract
Create a Florida-compliant employment contract for Independent Financial Advisors. Includes FINRA/SEC compliance, AUM fee structures, and Fla. Stat. § 542.335 non-competes.
Fill the form
Customized fields for your role
Preview live
See your document update in real time
Download PDF
Free watermarked or $9 clean copy
In the high-stakes world of Florida financial services, a generic employment agreement is a liability. Your contract must navigate the complex intersection of SEC/FINRA fiduciary duties and Florida’s... Read more
Customize your Employment Contract
10 fields · Takes about 2 minutes
Accept terms in the form to enable downloads
Customize your Employment Contract
10 fields · Takes about 2 minutes
Official Document Preview
[Scope of Fiduciary Duties & Investment Strategy]
Clearly defines the employer and employee, including legal names and addresses, to establish who is bound by the contract.
Specifies the employee's position, duties, and responsibilities, providing clarity on job expectations, which helps prevent future disputes.
Details salary, payment schedule, and any additional benefits such as health insurance, retirement plans, bonuses, etc., to ensure clarity on remuneration terms.
Outlines expected working hours, overtime policies, and any flexible working arrangements, essential for setting mutual expectations.
Defines the duration of employment (if applicable) and conditions under which either party can terminate the contract, including notice periods and severance, to manage termination processes.
Requires the employee to keep proprietary information confidential, protecting the employer's business interests and trade secrets.
Restricts employee's ability to compete with employer or solicit clients and employees post-employment, although enforceability varies by state.
Outlines methods for resolving disputes, such as arbitration or mediation, which can lower litigation costs.
Ensures that if one part of the contract is invalid, the remainder stays in effect, preserving the contract’s overall integrity.
Specifies which state's laws will govern the contract and where any legal actions would be taken, providing predictability in the legal environment.
Requires any modifications to the contract to be in writing and signed by both parties, ensuring that the written contract remains the definitive source of agreement terms.
In the high-stakes world of Florida financial services, a generic employment agreement is a liability. Your contract must navigate the complex intersection of SEC/FINRA fiduciary duties and Florida’s specific legal landscape, including the Florida Deceptive and Unfair Trade Practices Act and Fla. Stat. § 542.335 regarding restrictive covenants. Protecting your firm’s Assets Under Management (AUM) and mitigating E&O risks requires a document that explicitly defines portfolio allocation responsibilities, risk tolerance alignment, and rigorous compliance with the Investment Advisers Act of 1940. This template ensures your advisor relationships are built on clear compensation structures and ironclad confidentiality to protect proprietary investment strategies.
Under Fla. Stat. § 542.335, non-compete and non-solicitation clauses are enforceable only if they protect a 'legitimate business interest,' such as specific client relationships or trade secrets. In the financial sector, Florida courts scrutinize these heavily; the agreement must be reasonable in time, area, and line of business to withstand a challenge.
The contract should explicitly state the advisor's requirement to act as a fiduciary under the Investment Advisers Act of 1940. This includes maintaining detailed disclosure documents, adhering to client-specific risk tolerances, and avoiding conflicts of interest, which helps mitigate Fiduciary Liability for Breach of Duty.
To address common contractual pain points, the agreement should detail the exact calculation method for AUM-based fees, specify the valuation dates (e.g., quarter-end), and outline the billing cycle. It should also clarify how 'double-dipping' or overlapping commissions are handled under Florida law.
Yes. Pursuant to Fla. Stat. § 448.101 to § 448.105, your employment contract cannot retaliate against an advisor for disclosing regulatory violations to the SEC or FINRA. Including a provision that acknowledges these protected activities helps ensure the contract remains enforceable and compliant.
Employment Contract
Create a California-compliant tattoo artist employment contract. Features AB5 worker classification, Cal-OSHA safety standards, and CCPA data privacy.
Employment Contract
Create a Texas-compliant food truck employment contract. Address at-will status, Tex. Lab. Code compliance, health permits, and route schedules effortlessly.
Employment Contract
Employment Contract
Create a New Jersey-compliant RIA employment contract. Includes NJLAD, CEPA, and NJ Wage Law protections for independent financial advisors and SEC/FINRA compliance.
Non-Disclosure Agreement
Create a New York-compliant NDA for independent financial advisors. Protect AUM, client data, and fiduciary interests under the NY SHIELD Act and SEC rules.
Non-Disclosure Agreement
Create a Florida-compliant employment contract for Florida movers. Protect your business from liability, valuation disputes, and FMCSR compliance risks.
Create a Texas-compliant NDA for Financial Advisors. Protect AUM data, portfolio strategies, and client risk profiles while ensuring SEC and FINRA compliance.