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Suitability Information
Suitability Information
Byron Green
2018-06-20T12:31:09-05:00
Investor Suitability Questionnaire
Questions to ascertain client suitability for investment choices.
Your Account Title / Name
*
1. What is your employment status?
*
Employed
Retired
Unemployed
2. What is your occupation (former occupation if retired) ?
*
3. What is your estimated liquid net worth (including cash and securities)?
*
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 estimated liquid net worth?
*
Under 20%
20% to 40%
41% to 60%
61% to 80%
Over 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
Over $200,000
6. What is your primary source of income?
*
Retirement Savings
Current Earnings
Other Investments
7. How would you describe your income?
*
Declining
Stable
Rising
Rising Rapidly
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 investment.
10. How long do you plan to hold this investment?
*
3-5 years
6-9 years
10 years or more
11. What are your general investment objectives?
*
Income
Income and Growth
Growth
Aggressive Growth
12. When do you need income from this investment?
*
Immediately
in 1 - 2 years
in 3 - 5 years
in 6 - 9 years
in 10 or more years
12 (b). How much annual income do you need as a percentage of the current value of your account?
*
1-2%
3-5%
6-7%
Over 7%
13. What is your risk tolerance or ability to accept short-term fluctuations in the value of your account?
*
Low
Medium
High
14. What is your current age bracket?
*
1 to 20
21 to 35
36 to 50
51 to 64
65 and over
Not Applicable
Client Risk Score
X
Client Signature and Date
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Comments
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