INVESTOR PROFILE QUESTIONNAIRE

Date

INVESTOR INFORMATION

*

MR. MRS. MISS MS. DR.

*

FIRST NAME LAST NAME

*

ADDRESS

Street Address Line 2

*

CITY

Street Address Line 2

*

PROVINCE

*

Postal Code

*

COUNTRY

HOME PHONE

BUSINESS PHONE

*

E-MAIL ADDRESS

1. WHAT IS YOUR INVESTMENT HORIZON - WHEN WILL YOU NEED THIS MONEY? *

Within 3 years (1) 3-5 years (4) 6-10 years (6) 11 15 years (9) 15+ years (11)

SCORE

2. WHAT IS YOUR MOST IMPORTANT INVESTMENT GOAL? *

To preserve your money (1) To see modest growth (5) To see more significant growth (8) To earn the highest return possible (11)

SCORE

3. PLEASE INDICATE WHICH STATEMENT REFLECTS YOUR OVERALL VIEW OF MANAGING RISK: *

I don't like risk and I am not prepared to expose my investments to any market fluctuations in order to earn higher long term returns (1) I am prepared to experience modest short-term market fluctuations in order to generate growth of capital (3) I am prepared to experience average short term market fluctuations in order to achieve a higher long term return (5) I want to maximize my long term returns and am comfortable with significant short term market fluctuations (7)

SCORE

4. IF YOU OWNED AN INVESTMENT THAT DECLINED BY 20 PERCENT OVER A SHORT PERIOD, WHAT WOULD YOU DO? *

Sell all of the remaining investment (1) Sell a portion of the remaining investment (3) Hold the investment and sell nothing (5) Buy more of the investment (7)

SCORE

5. IF YOU COULD INCREASE YOUR CHANCES OF IMPROVING YOUR INVESTMENT RETURNS BY TAKING MORE RISK, WOULD YOU? *

Be unlikely to take more risk (1) Be willing to take a little more risk with some of your portfolio (3) Be willing to take a lot more risk with some of your portfolio (5) Be willing to take a lot more risk with your entire portfolio (7)

SCORE

6. THE FOLLOWING PICTURE SHOWS THREE MODEL PORTFOLIOS AND THE HIGHEST AND LOWEST RETURNS EACH IS LIKELY TO EARN IN ANY GIVEN YEAR. WHICH PORTFOLIO WOULD YOU BE MOST LIKELY TO HOLD? *

Portfolio A (1) Portfolio B (4) Portfolio C (7)

SCORE

7. AFTER SEVERAL YEARS OF FOLLOWING YOUR RETIREMENT PLAN, YOU REVIEW YOUR PROGRESS AND DETERMINE YOU ARE BEHIND SCHEDULE AND WILL NEED TO MODIFY YOUR STRATEGY IN ORDER TO RETIRE AT YOUR PREFERRED AGE. WHAT WOULD YOU DO? *

Keep the same investments you currently hold, but increase your contributions as much as possible (1) Slightly increase your exposure to riskier investments and slightly increase your contributions (4) Move your entire portfolio to riskier investments, hoping to achieve the highest long term return (7)

SCORE

8. WHICH STATEMENT BEST APPLIES TO YOUR APPROACH REGARDING ACHIEVING YOUR RETIREMENT INCOME GOALS ON TIME? *

I must achieve my financial goal by my target retirement date (1) I would like to come close to achieving my financial goal by my target retirement date (3) If I have not reached my financial goal by my target retirement date, I have the flexibility to delay my target retirement date (5) I re evaluate my financial goals and target retirement date regularly and have the flexibility to adjust them to align with the performance of my investments (7)

SCORE

YOUR RISK ANALYSIS REVEALS

Your total score

Your investor profile is

Conservative

Moderate

Balanced

Growth

About your investor profile

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