DFI/SEC/NASAA Event
*
1.
Name
(Required.)
*
2.
Email Address
(Required.)
3.
City, State
4.
Are you over the age of 65?
Yes
No
5.
Years of Investment Experience
6.
If you get advice from a financial professional, please identify the type of professional. Select all that apply.
Broker Dealer Agent (BD)
Investment Adviser (IA)
Dual Registered Representative (Both a BD and IA)
Insurance Agent
Other (please specify)
7.
What is your financial professional's title?
8.
Types of Account. Select all that apply.
Brokerage Account (individual or joint)
IRA
401(k)
403(b)
Other (please specify)
9.
Type of Investments
Stocks
Bonds
Mutual Funds
Private Placements
REITs – Publicly Traded
REITs – Nontraded
Treasuries
Bank CDs
Annuities
Cryptocurrency
Other (please specify)
