Name
*
First Name
Last Name
Birthdate
*
MM
DD
YYYY
Spouse's Name
What is your desired retirement age:
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What is your desired annual rate of return?
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0-2.5%
2.5-5%
5-7.5%
7.5-10%
10%+
Which of the following statements best describes your investment objectives?
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My highest priority is to preserve my investments and I am willing to accept minimal return in order to do so.
I seek to generate income from my investments and am interested in investments that have historically demonstrated a low degree of risk of loss of principal value.
I seek to grow the principal value of my investments over time and, in pursuit of these gains, am willing to invest in securities that have historically demonstrated a moderate degree of risk to loss of principal value.
I seek to accelerate somewhat the growth of the principal value of my investments over time and, in pursuit of these gains, am willing to invest in securities that have historically demonstrated a moderate to above average degree of risk of loss of principal value.
I seek a significant appreciation of the principal value of my investments and, in pursuit of these gains, am willing to accept a greater degree of risk by investing in securities that have historically demonstrated a high degree of risk o floss of principal.
How would you respond in the event of a decline in the value of your investments?
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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.
Even if my investments were to suffer a significant decline over several years, I would continue to follow my long-term investment strategy and not adjust my portfolio.
I would increase the amount invested in my portfolio in anticipation of an increase in value.
Which of the following scenarios would make you more uncomfortable?
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Making an investment and watching it decline in value.
Selling an investment and watching it increase in value.
During the decline in stock market values that took place from 2007 through 2009 (or 2020), what action did you take with respect to your investments?
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Sold all equity holdings.
Moderately decreased equity holdings.
No changes.
Moderately increased equity holdings.
Significantly increased stock holdings.
Not applicable
In general, how did you feel about the decline in stock market values from 2007 through 2009 (or 2020)?
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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 of my investments.
Indifference.
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?
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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 most financial products, including stocks, bonds, and options. I understand overall market risk as well as company specific risk.
Have you owned any of the following types of investments?
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Select all that apply.
