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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 investment.
10. How long do you plan to hold this investment?
10 years or more
11. What are your general investment objectives?
Income and Growth
12. When do you need income from this investment?
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?
13. What is your risk tolerance or ability to accept short-term fluctuations in the value of your account?
14. What is your current age bracket?
1 to 20
21 to 35
36 to 50
51 to 64
65 and over
Client Risk Score
Client Signature and Date
This field is for validation purposes and should be left unchanged.
Save and Continue Within 30 days