Investor Profile Questionnaire

  1. What is the approximate value of your total investment assets including CDs, bank accounts, mutual funds and other securities?

  2. Of your total investment assets above, what dollar amount is currently available for investment?

  3. If you are filling this questionnaire out for an IRA or other retirement plan, please indicate what type:


Please answer the following 7 questions with regard to only the assets currently available for investment:

  1. In how many years do you expect to need access to your funds? For example, if you are using the funds toward your retirement, in how many years do you plan to retire?

  2. Do you wish to receive current income (interest plus dividends) of more than 3% per year from your portfolio?

  3. Please describe your attitude toward the investment of this portfolio by circling the most appropriate number below. The higher the number indicated, the more aggressive you consider yourself to be.

    More Conservative
    More Aggressive
  1. Please select the most accurate description of your primary investment objective for this portfolio.

  2. Please select the hypothetical portfolio with the five-year investment performance that best reflects your preference for your portfolio.

    5 Yr.
    A. +3% +111% +8% -1% +9% +6%
    B. -3% +19% +16% -5% +13% +8%
    C. -12% +24% +27% -8% +19% +10%
    Your level of comfort with various investment returns is important. Historically, the more volatile the portfolio (a greater range of potential returns), the higher the average return has been. Of course, there is no assurance that this will remain true in the future. Therefore, you must balance your investment goals with your tolerance for risk and ability to accept and sustain a loss. Please remember that the table shown above is hypothetical illustration of various potential annual returns. It does not represent in any way the past or future performance of any investment program or portfolio.
  3. If our evaluation suggests that investments in equity sectors such as Health & Biotechnology, Technology & Communications, Financial Services and Energy & Basic Materials are suitable for your portfolio, do you wish to have a portion of your assets invested in these markets?

  4. For your fixed income investments, please indicate below whether you wish to primarily use taxable or federally non-taxable (municipal) securities. If you prefer instead of invest primarily in equity portfolios, leave the Taxable and Federally Non-taxable boxes blank and select the Primarily Equities Only box below.