Name *

First Name

Last Name

Phone *

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Risk Profile Question 1 of 6 *

• Which of the statements below best describes your purpose for this investment account?

I want to minimize potential declines and significant fluctuations in the value of my account by investing in lower risk, more conservative investments

I want a moderately high level of income (interest and dividends) from the account, with some modest growth opportunity over the long-term

I prefer a balance of income (interest and dividends) with longer-term growth

My primary goal is to maximize the value of my account as much as possible over a long-term timeframe

Risk Profile Question 2 of 6 *

• When will you begin withdrawing money from this specific investment account?

10+ years

5 to 10 years

3 to 5 years

1 to 3 years, (for supplemental income needs, such as retirement)

I plan on immediately withdrawing money from this account

Risk Profile Question 3 of 6 *

• Over the next several years, you expect your annual income (salary, rental properties, pensions, social security, etc.) to:

Stay about the same

Grow moderately

Grow substantially

Decrease moderately

Decrease substantially

Risk Profile Question 4 of 6 *

• Which of the five sample portfolios best represents your goals for this investment account and the most acceptable range of outcomes over a 1 year period? The figures presented are hypothetical and do not represent actual returns of an investment portfolio. No guarantee is made regarding future performance.

Portfolio A: Average Return 4% Best Return 18% Worst Return -8%

Portfolio B: Average Return 5% Best Return 28% Worst Return -21%

Portfolio C: Average Return 7% Best Return 39% Worst Return -30%

Portfolio D: Average Return 8% Best Return 53% Worst Return -39%

Portfolio E: Average Return 10% Best Return 67% Worst Return -47%

Risk Profile Question 5 of 6 *

• If your investments were to decline in value significantly over a three month period, how might you react?

I would consider this decline as an opportunity to add to my investments

Because I invest for long-term growth, I can accept temporary fluctuations

Although I invest for long-term growth, a short-term decline would concern me

I would be very concerned because I can’t accept my account losing value

Risk Profile Question 6 of 6 *

• In recent years, how have your personal investments changed?

My investments have shifted towards lower risk, lower return profile

No meaningful change in the risk profile of my investments

I have shifted my investments towards a higher risk, higher return profile