Name *

First Name

Last Name

Phone *

(###)

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Which of the following statements best describes your investment objectives? *

To preserve my investments, I am willing to accept minimal return.

To generate income from my investments, I am interested in investments that have historically demonstrated a low degree of risk of loss of principal.

To grow the value of my investments over time, I am willing to invest in securities that have shown a moderate degree of risk in the past.

To accelerate somewhat the growth of my investments over time, I am willing to invest in securities that have shown moderate to above average risk.

To significantly grow my investments, I am willing to invest in securities that have shown an above average risk to loss of principal.

Time Horizon for Investments *

10+ Years

5-10 Years

3-5 Years

Less Than 1 Year

Liquidity Needs From Investment Accounts *

None

Slight (Need current income, less than 8% of portfolio)

Moderate (May need quick access to cash, greater than 8% of portfolio)

Significant (Primary use is liquidity, greater than 20% of portfolio)

Which of the following scenarios would make you more uncomfortable? *

Making an investment and watching it decline in value

Selling an investment and watching it increase in value

How would you respond in the event of a decline in the value of your investments? *

I would sell my investments immediately if they were to suffer substantial declines.

Although declines in investment value make me uncomfortable, I would wait one to two quarters before adjusting my portfolio.

I can endure significant declines in the value of my investments and would wait at least one year before adjusting my portfolio.

If my investments were to suffer a significant decline over several years, I would continue to follow my long-term investment strategy.

I would increase the amount invested in my portfolio in anticipation of an increase in value.

Acceptable percentage of principal loss in a short term period of less than 1 year? *

Up to 5%

Up to 10%

Up to 15%

Up to 20%

Up to 25%

During the decline in stock market values that took place from 2007 through 2009, what action did you take with respect to your investments? *

Sold all stock holdings

Moderately decreased stock holdings

No changes

Moderately increased stock holdings

Significantly increased stock holdings

Not applicable

In general, how did you feel about the decline in stock market values from 2007 through 2009? *

High level of anxiety

Moderate level of anxiety

Acceptance that short-term losses are part of investing and assurance that the risk I took was reasonable given the potential long-term gains

Indifference

Significantly increased stock holdings

Excited to be able to invest in assets that had declined in value

How would you describe your level of knowledge with regard to finance and investing? *

Minimal - I have very little interest in understanding finance and investing, or I have not had the opportunity to learn.

Low - I have basic knowledge of finance, such as understanding what stocks, bonds, and mutual funds are.

Medium - I have knowledge beyond basic products and I understand diversification and other financial and investing terminology and strategy.

High - In addition to understanding most financial products and terminology, I understand factors that affect the price of stocks and bonds.

Advanced - I have an in-depth knowledge of financial products, including stocks, bonds, and options. I understand overall market and specific risks.