Investor Risk Profile

Investor Risk Profile

This questionnaire will help us identify your investment objectives, time horizon, and risk tolerance for your investment portfolios. By analyzing these factors, we can customize a proposed asset allocation mix that is most suited to your personal feelings and your financial goals.

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* Your Information

Name

Email Address

Phone Number

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* What is your current age?

Less than 45

45 to 55

56 to 65

66 to 75

76 or older

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* When do you expect to begin withdrawing money from this investment account?

Less than 1 year

1 to 2 years

3 to 4 years

5 to 7 years

8 to 10 years

11 or more years

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When do you expect to need monthly or quarterly income from your investment accounts to pay for ongoing expenses and income needs?

Not for at least 20 years

In 10 to 20 years

In 5 to 10 years

Not now, but within 5 years

Immediately

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Once you begin withdrawing money from your investment account, how long do you expect the withdrawals to last?

I plan to take a lump sum distribution.

1 to 4 years

5 to 7 years

8 to 10 years

11 or more years

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* What is your goal for this investment account?

To grow aggressively

To grow significantly

To grow moderately

To grow with caution

To avoid losing money

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Assuming normal market conditions, what would you expect from this investment over time?

To generally keep pace with the stock market

To slightly trail the stock market, but make a good profit

To trail the stock market, but make a moderate gain

To have some stability, but make modest profits

To have a high degree of stability, but make small profits

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Suppose the stock market performs unusually poorly over the next decade, what would you expect from this investment account?

To lose money

To make very little or nothing

To eke out a little gain

To make a modest gain

To be little affected by what happens in the stock market

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Inflation, the rise in prices over time, can erode your investment return. Long-term Investors should be aware that, if portfolio returns are less than the inflation rate, their ability to purchase goods and services in the future might actually decline. However, portfolios with long-term returns that significantly exceed inflation are associated with a higher degree of risk. Please select the portfolio with which you are most comfortable.

Portfolio A: Will most likely exceed long term inflation by a significant margin and has a high degree of risk.

Portfolio B: Will most likely exceed long term inflation by a moderate margin and has a high to moderate degree of risk.

Portfolio C: Will most likely exceed long term inflation by a small margin and has a moderate degree of risk.

Portfolio D: Will most likely match long term inflation and has a low degree of risk.

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Investing involves a trade-off between risk and return. Historically, investors who have received high long-term average returns have experienced greater fluctuations in the value of their portfolio and more frequent short-term losses than investors in more conservative investments have considering the above, which statement best describe your investment goals?

Protect the value of my account. In order to minimize the chance for loss, I am willing to accept the lower long-term returns provided by conservative investments.

Keep risk to a minimum while trying to achieve slightly higher returns than the return provided by investments that are more conservative.

Balance moderate levels of risk with moderate levels of returns.

Maximize long-term investment returns. I am willing to accept large and sometimes dramatic fluctuations in the value of my investments.

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Historically, markets have experienced downturns, both short-term and prolonged, followed by market recoveries. Suppose you owned a well-diversified portfolio that fell by 20% (i.e., $1,000 initial investment would now be worth $800) over a short period, consistent with the overall market. Assuming you still have 10 years until you begin withdrawals, how would you react?

I would not change my investment.

I would wait at least one year before changing to options that are more conservative.

I would wait at least three months before changing to options that are more conservative.

I would immediately change to options that are more conservative.

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The following are hypothetical results of four sample portfolios over a one-year holding period. The best potential gains and the worst potential losses are presented. Note that the portfolios with the best potential gains also have the largest potential for loss. Which portfolio would you prefer to hold?

Portfolio A: Potential gains up to 45% with potential losses down to -26%

Portfolio B: Potential gains up to 34% with potential losses down to -20%

Portfolio C: Potential gains up to 26% with potential losses down to -15%

Portfolio D: Potential gains up to 15% with potential losses down to -7%

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* Which of these statements would best describe your attitudes about the next 3 years’ performance of this investment account?

I do not mind if I lose money.

I can tolerate a loss.

I can tolerate a small loss.

I would have a hard time tolerating any losses.

I need to see at least a little return.

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* Which of these statements would best describe your attitudes about the next 3 month’s performance of this investment account?

Who cares? One calendar quarter means nothing.

I would not worry about losses in that time frame.

If I suffered a loss of greater than 10%, I would get concerned.

I can only tolerate small short-term losses.

I would have a hard time stomaching any losses.

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* I am comfortable with investments that may frequently experience large declines in value if there is a potential for higher returns.

Agree

Disagree

Strongly Disagree

All securities through Money Concepts Capital Corp., member FINRA/SIPC.

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* Your Information

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* What is your current age?

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* When do you expect to begin withdrawing money from this investment account?

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* When do you expect to need monthly or quarterly income from your investment accounts to pay for ongoing expenses and income needs?

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* Once you begin withdrawing money from your investment account, how long do you expect the withdrawals to last?

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* What is your goal for this investment account?

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* Assuming normal market conditions, what would you expect from this investment over time?

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* Suppose the stock market performs unusually poorly over the next decade, what would you expect from this investment account?

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* Which of these statements would best describe your attitudes about the next 3 years’ performance of this investment account?

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* Which of these statements would best describe your attitudes about the next 3 month’s performance of this investment account?

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* I am comfortable with investments that may frequently experience large declines in value if there is a potential for higher returns.

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When do you expect to need monthly or quarterly income from your investment accounts to pay for ongoing expenses and income needs?

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Once you begin withdrawing money from your investment account, how long do you expect the withdrawals to last?

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Assuming normal market conditions, what would you expect from this investment over time?

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Suppose the stock market performs unusually poorly over the next decade, what would you expect from this investment account?