WMSFS Confidential Client Profile

WMS Financial Services

Confidential Client Profile

CLIENT 1

Verification of Client

CLIENT 2

Employment Status

Verification of Client 2

OWNER & JOINT OWNER

OVERALL RISK TOLERANCE

FINANCIAL INFORMATION

CURRENT INVESTMENTS & EXPERIENCE

ACKNOWLEDGEMENTS

WMS Financial Services

8820 E. Foxhollow Drive Anaheim, CA 92808 | (714) 912-4906
Confidential Client Profile
Regulations require each Registered Investment Advisor to maintain written information about each advisory Client as a basis for making any recommendation or providing any investment advice. This information is confidential and will only be used by us to help achieve your unique financial goals.

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CLIENT 1
Name

First NameLast Name
MI
Preferred name
MaleFemale
SingleMarriedDivorcedWidow(er)
Address

Home Address

Street Address Line 2

City, State, ZIPState / Province

Postal / Zip Code
Home Phone
Format: (000) 000-0000.
Cell Phone
Format: (000) 000-0000.
YesNo
Date of Birth

MonthDayYear
Date
Social Security Number
EmployedSelf-employedUnemployedStudentRetired
Client Employer
Occupation
Annual Salary
Employer Address

Employer Address

Street Address Line 2

City, State, ZIPState / Province

Postal / Zip Code
Work Phone
Format: (000) 000-0000.
Fax
Email
example@example.com
Verification of Client
ID Type (must be government issued photo ID (e.g. Driver’s license)
ID#
Issuer (i.e. State or Government Agency)
Exp. Date

MonthDayYear
Date
Citizenship Country
Length of time advisor has known investor
YesNo
Company name
CUSIP
YesNo
CLIENT 2
Name

First NameLast Name
MI
Preferred name
MaleFemale
SingleMarriedDivorcedWidow(er)
Address

Home Address

Street Address Line 2

City, State, ZIPState / Province

Postal / Zip Code
Home Phone
Format: (000) 000-0000.
Cell Phone
Format: (000) 000-0000.
YesNo
Date of Birth

MonthDayYear
Date
Social Security Number
Employment Status
EmployedSelf-employedUnemployedStudentRetired
Client Employer
Occupation
Annual Salary
Address

Employer Address

Street Address Line 2

City, State, ZIPState / Province

Postal / Zip Code
Work Phone
Format: (000) 000-0000.
Fax
Email
example@example.com
Verification of Client 2
ID Type (must be government issued photo ID (e.g. Driver’s license)
ID#
Issuer (i.e. State or Government Agency)
Exp. Date

MonthDayYear
Date
Citizenship Country
Length of time advisor has known investor
YesNo
Company name
CUSIP
YesNo
OWNER & JOINT OWNER
Existing clientReferralUnsolicited walk/call inSolicitedCold call
YesNo
YesNo
OVERALL RISK TOLERANCE
Responses provided are for the general intentions of the Client(s Specific account suitability information will be captured on the client contract for each account managed.
ConservativeBalancedModerateGrowthAggressive
Safety of PrincipleTax AdvantagedIncomeGrowthSpeculation
Under 1 year1-3 years3-5 years5-10 years10-20 years20+ years
FINANCIAL INFORMATION
0-12%13-23%24%25-32%+
Estimated net worth
Liquid net worth
Estimated annual income
Under $200K200- 500K500K-1 Million1-2 MillionOver $ 2 Million
CURRENT INVESTMENTS & EXPERIENCE

Client owns/has the following:
Mutual funds (%)
Mutual funds (# of years)
CDs/money markets (%)
CDs/money markets (# of years)
Individual stocks & bonds (%)
Individual stocks & bonds (# of years)
Fixed/variable annuities (%)
Fixed/variable annuities (# of years)
Other (Type)
Other (%)
Other (# of years)
Little or NonePoorAverageGoodExcellent
Little or NonePoorAverageGoodExcellent
Beneficiary children from this marriage (Please indicate each beneficiary type below the table):

PrimaryContingent
PrimaryContingent
PrimaryContingent
PrimaryContingent
PrimaryContingent
Children from previous marriage or grandchildren (Please indicate each beneficiary type below the table):

PrimaryContingent
PrimaryContingent
PrimaryContingent
PrimaryContingent
PrimaryContingent
Notes
ACKNOWLEDGEMENTS
By signing below, I/we acknowledge the above information is true and accurate to the best of my/our knowledge.
Client 1: Print name
Client 1: Date

MonthDayYear
Date
Client 2: Print name
Client 2: Date

MonthDayYear
Date
Should be Empty:

Relationship

% of Account