FINANCIAL PROFILE & RISK TOLERANCE QUESTIONNAIRE Name(Required) First Last Date of Birth(Required) MM slash DD slash YYYY Phone(Required)Email(Required) Annual Income(Required)Social Security Income (If started)Start Date for Social Security MM slash DD slash YYYY Date You Plan to Retire(Required) MM slash DD slash YYYY Are You Married?(Required) Yes No Spouse InfoSpouse's Name First Last Spouse's Date of Birth MM slash DD slash YYYY Spouse's Annual IncomeSpouse's Social Security Income (If started)Start Date for Social Security Income MM slash DD slash YYYY Date Your Spouse Plan to Retire MM slash DD slash YYYY SECTION 1: FINANCIALSLiquid Net Worth (assets that can be readily converted to cash)(Required)Total Net Worth(Required)What is your current household income (Yours, plus spouse/partner if applicable)?(Required) Under $50K $50K - $100K $100K - $150K $150K - $250K $250K - $500K Over $500K What is your federal income tax bracket?(Required) 10% 12% 22% 24% 32% 35% 37% If you needed immediate funds equal to 1/4 the value of your investment accounts, where would you obtain the money?(Required) All from this portfolio At least 75% from this portfolio and the remainder from other savings and investments 50% from this portfolio and the remainder from other savings and investments Less than 25% from this portfolio and the remainder from other savings and investments All from other savings and investments Annual Pension IncomeSpouse's Annual Pension IncomeDo you own any variable annuities(Required) Yes No Have you turned on income with your variable annuity contract? Yes No Do you own any Fixed Indexed Annuities?(Required) Yes No Have you turned on income with your annuity contract? Yes No Household Monthly Expenses(Required)Household Monthly Expenses During Retirement(Required)SECTION 2: GOALSWhat is your investment objective?(Required) Preserve Principal Income Income and Growth Growth Aggressive Growth When do you expect to begin withdrawals on a regular basis from your investment accounts?(Required) Less than 1 year 1-3 years 4-6 years 7-10 years More than 10 years Today, how much do you rely on income from your investment accounts?(Required) Heavily Moderately Slightly Not at all SECTION 3: RISK TOLERANCEWhat is your investment experience?(Required) None Limited Moderate Extensive Indicate the response that you feel best describes your risk tolerance(Required) Conservative - Accepting of lower returns for a higher degree of stability - Seeks principal preservation and minimizing risk Moderately Conservative - Comfortable accepting a small degree of risk and volatility - Accepting of lower returns in exchange for minimal losses Moderate - Accepting of modest risks to seek higher long-term returns - Accepting of short-term losses of principal in exchange for long-term appreciation Moderately Aggressive - Willing to accept significant risk - May endure large losses in favor of potentially higher long-term returns Aggressive - Willing to accept substantial risk - Maximizing long-term returns is more important than protecting principal Which hypothetical portfolio are you most comfortable with, considering the possible range of returns, for $100,000 invested, over a 1-YEAR period?(Required) $102K - $105K $100K - $107K $95K - $110K $90K - $115K $75K - $125K Generally, investments with the highest potential for gains carry the greatest risk of loss. Which hypothetical portfolio are you most comfortable with, considering the possible outcomes of $100,000 invested for 5-YEARS:(Required) $102K - $120K $90K - $135K $85K - $145K $80K - $160K $70K - $180K Historically, markets have experienced sharp, short-term downturns. If your investment portfolio lost 25% of its value over TWO DAYS, how would you react?(Required) I would immediately move all my holdings to cash I would immediately change to strategies that are more conservative I would wait at least 3 months before deciding to make any changes I would immediately change to strategies that are more aggressive I would immediately add to my investment portfolio and buy more equities to take advantage of the lower prices Historically, markets have experienced prolonged periods of declines. If your investment portfolio lost 33% of its value over the last 3 MONTHS, how would you react?(Required) I would immediately move all my holdings to cash I would immediately change to strategies that are more conservative I would wait at least 3 months before deciding to make any changes I would immediately change to strategies that are more aggressive I would immediately add to my investment portfolio and buy more equities to take advantage of the lower prices Client Acknowledgement(Required) I understand that the above-referenced Risk Profile Questionnaire acts as a guide only to building an overall financial solution. I recognize that there are other factors to consider besides my score on this questionnaire when making portfolio decisions. 2+2=(Required) CAPTCHAEmailThis field is for validation purposes and should be left unchanged. Δ
