FINANCIAL NEEDS ANALYSIS
Exhibit I
Financial Needs Analysis
Word Version
While markets and investments may change rapidly, investors should follow a plan. The completion of this Financial Needs Analysis will enable your financial advisor and investment firm to better understand you and your needs. This form should be updated every ___ years, or when a significant change occurs in your life.
--------------------------------
A. I would like to review my portfolio (choose one): __ in person __ by telephone.
B. My portfolio review should be: (agreed-to time frame, e.g. quarterly, semi-annual, etc.)
C. I would like to discuss investment ideas: (agreed-to time frame, e.g. weekly, monthly, etc.)
D. I __ have __ have not completed a written financial plan to determine my long-term goals. If not, I would like to begin the planning process immediately. __ Yes __ No.
E. The written plan __ should __ should not be sent to my accountant or attorney.
F. I would describe my risk tolerance as follows (choose one):
__ Preservation of capital is my single most important concern.
__ Preservation of capital and income are my most important objectives.
__ I accept possible principal loss as a natural function of investment risk incurred in the pursuit of potentially higher returns.
__ I am willing to sustain losses on individual transactions in expectation that overall portfolio results will be substantial.
G. I am interested in the following pricing and service alternative(s): __ per transaction pricing
__ asset-based fees __ relationship-based pricing __ managed-account fees __ online transactions.
H. I would like to receive research about the following areas: __ equities __ fixed income
__ mutual funds __ other (please specify) ____________________.
I. I have use of a PC (choose one): __ at home __ at work __ at home and work __ no PC available.
J. I __ do __ do not have access to the Internet or World Wide Web through my computer.
I would like you to contact me (rank by preference with "1" being the primary method of contact, "2" the secondary method of contact, etc.): __ by phone __ by mail __ by fax __ by e-mail.
K. I would like access to my account information and research materials over the Internet.
__ Yes __ No.
The best time to reach me is: _________________________.
____________________________
Client Signature |
____________________________
Date |
____________________________
Client Signature |
____________________________
Date |
____________________________
Investment Representative |
____________________________
Date |
