INVESTOR PROFILE QUESTIONNAIRE

INVESTOR PROFILE QUESTIONNAIRE
Full Name
First, Last Name
Address

Street Address

Street Address Line 2

City State / Province

Postal / Zip Code
Day phone
Evening phone
Email
example@example.com
Financial advisor
INVESTOR PROFILE QUESTIONNAIRE
Building Your Financial Foundation.

The Investor Profile Questionnaire is designed to help you gain an in-depth understanding of your investment objective, which serves as the foundation of your portfolio and guides us in making investment recommendations. Your investment objective is based on many factors, including your time horizon, financial goals, and risk tolerance. To build your portfolio, you must clearly define your financial goals. Short-term goals may include buying a house or financing a dream vacation. Long-term goals may include saving for your child’s education or planning for your retirement. Your time horizon defines when you hope to achieve a goal. It could be 1 to 5 years, 5 to 10 years, 15 years, 30 years, or more. Risk is an unavoidable part of investing. Historically, investments with higher return potential have required a higher tolerance for risk. Therefore, by clearly defining your risk tolerance, we’ll be better prepared to choose the most appropriate investments for your portfolio. Over time, your goals and financial situation may change. It’s important for us to discuss any changes, as your original investment objective may need to be re-evaluated.

Determining Your Investment Objective.

This self-scoring questionnaire will help us determine your investment objective. Answer each question by writing the corresponding number in the box to the right of each question, then total the numbers for each section. Fill in the scorecard on the last page to determine your investment objective.

Time Horizon
1. What is your age?
2. What is your primary financial goal?
3. What is the time frame in which you hope to achieve your financial goals?
TIME HORIZON TOTAL:
Automatically calculated, DO NOT CHANGE!!
Financial Goals
4. Which of the following best describes your financial goals?
5. In five years, how do you expect your standard of living to compare to what it is today?
6. Five years from today, you expect your portfolio value to be:
7. Generating current income from your portfolio is:
8. With the income generated from your portfolio, you plan to:
FINANCIAL GOAL TOTAL:
Automatically calculated, DO NOT CHANGE!!
Risk Tolerance
9. Imagine you've just received a large amount of money. How would you invest it?
10. Which of the following statements would best describe your reaction if the value of your portfolio were to suddenly decline by 15%?
11. Which of the following investments would you feel most comfortable owning?
12. Which of the following investments would you least like to own?
13. Which of the following investments do you feel are the most ideal for your portfolio?
14. How optimistic are you about the long-term prospects for the economy?
15. Which of the following best describes your attitude about investment outside the U.S.?
RISK TOLERANCE TOTAL:
Automatically calculated, DO NOT CHANGE!!

TIME HORIZON TOTAL x 1 :
Automatically calculated, DO NOT CHANGE!!
FINANCIAL GOAL TOTAL x 2 :
Automatically calculated, DO NOT CHANGE!!
RISK TOLERANCE TOTAL x 3 :
Automatically calculated, DO NOT CHANGE!!
Investor Scorecard
The total for each section is multiplied by a number that represents the overall importance of that section when determining your investment objective.
Automatically calculated, DO NOT CHANGE!!
The investment objectives shown are for illustrative purposes only. Your investment objective is based on many factors including, your financial situation, tolerance for risk, time horizon, and other financial needs. Consult your financial advisor if you have any questions.
Securities and advisory services offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC

Insurance products are offered through LPL or its licensed affiliates. To the extent you are receiving investment advice from a separately registered independent investment advisor that is not an LPL Financial affiliate, please note LPL Financial makes no representation with respect to such entity.
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INVESTOR PROFILE QUESTIONNAIRE

INVESTOR PROFILE QUESTIONNAIRE

Time Horizon

Financial Goals

Risk Tolerance