New Client Questionnaire

New Client Questionnaire

We are excited to have you as a part of the Summit family. Please answer the questions below to help us get to know you better. This form takes roughly 10 minutes to complete.
Legal Name*

First NameMiddle InitialLast NameSuffix
Email
example@example.com
Are you a veteran?

YesNo
If yes, which branch?
Your hobbies and personal interests
Do you have any pets? If yes, please list their name(s).
What specific date or year do you hope to retire?
What activities would you like to do or plan to do once you retire?
When visiting our office, which would you prefer?

WaterCoffee- RegularCoffee- DecafTeaSoda

Partner's Legal Name

First NameMiddle InitialLast NameSuffix
Are they a veteran?

YesNo
If yes, which branch?
Their hobbies and personal interests
What specific date or year do they hope to retire?
What activities would they like to do or plan to do once they retire?
When visiting our office, which would they prefer?

WaterCoffee- RegularCoffee- DecafTeaSoda
Beneficiary 1- Legal Name

First NameLast Name
Preferred Name
Date of Birth

MonthDayYear
Relationship
Beneficiary 2- Legal Name

First NameLast Name
Preferred Name
Date of Birth

MonthDayYear
Relationship
Beneficiary 3- Legal Name

First NameLast Name
Preferred Name
Date of Birth

MonthDayYear
Relationship
Beneficiary 4- Legal Name

First NameLast Name
Preferred Name
Date of Birth

MonthDayYear
Relationship

Please list any important dates to you. This can include your wedding date, adoption of a child, death of a loved one, or any other date that is important to you!
Important Date 1

MonthDayYear
Please share why this date is important to you
Important Date 2

MonthDayYear
Please share why this date is important to you
Important Date 3

MonthDayYear
Please share why this date is important to you

Please answer the following questions related to your investment experience and risk tolerance.
Please answer the following questions related to your investment experience and risk tolerance.

No experience1-5 years6-10 years10+ years
How would you characterize your overall general investment knowledge?

NoneLimitedGoodType option 4Extensive

Describe your investment knowledge in each of the following areas as none, limited, good or extensive.

Which of the following areas do you have previous investment experience with?

StocksMutual FundsAnnuitiesBondsReal EstateOther
What is your anticipated investment time horizon? (When do you anticipate making withdrawals)

Near term (less than 1 year)Very Short (1-3 years)Short (3-5 years)Intermediate (6-10 years)Long (10+ years)
Do you expect to make any withdrawals within five years of opening your account?

Type option 1Type option 2Type option 3Type option 4
If yes, please describe the reason(s):
How much did you save outside of your retirement plan (401(k), IRA, etc.) last year?

$0$1-$10,000$10,001-$25,000$25,000
How much do you expect to save in the next few years?

Same amountLess savingsMore savings
What are your expectations for your household income over the next few years?

Same amountLess incomeMore income
What are the main objectives you have for your investments?

Income with limited growthGrowth & incomeGrowthIncome with moderate growthPrimarily growthOther
Hypothetical Short-Term Risk Tolerance: Most investments fluctuate over the short-term. If you opened an accountwith a $50,000 deposit and it lost value in the first year, at what point would you consider selling the funds and transferringthem to a more stable investment rather than waiting for a turnaround?

$47,000$44,000$40,000$35,000Below $35,000Would not sell