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Guardian Fixed Income
Confident Retirement Plan
Literature & Performance
Investor Suitability Questionnaire
Questions to ascertain client suitability for investment choices.
Your Account Title / Name
1. What is your employment status?
2. What is your occupation (former occupation if retired) ?
3. What is your net worth (excluding your primary residence)?
Less than $50,000
$50,000 to $199,999
$200,000 to $999,999
$1,000,000 or more
4. This investment is what percentage of your net worth (listed above)?
20% to 40%
41% to 60%
61% to 80%
5. What is your approximate annual income (for joint accounts include combined incomes)?
Less than $25,000
$25,000 to $49,999
$50,000 to $99,999
$100,000 to $200,000
6. What is your primary source of income?
7. How would you describe your income?
8. How many months of emergency funds, separate from this investment, do you have?
Under 3 months
3 to 8 months
9 to 12 months
Over 12 months
9. What is your experience in investing in stocks and bonds or stock and bond mutual funds? In the case of a custodial or trust account, this question refers to the Custodian or Trustee(s) experience.
Severely limited. I am fully dependent on advice from professionals.
I have a basic understanding of the markets, stocks, bonds & mutual funds.
I have a good understanding of investments & can discuss financial concepts.
I understand asset allocation & how to research & select securities for in