New Client Questionnaire

1. Describe your knowledge of investments.

None

Limited

Good

Extensive

2. What kinds of investments have you made in the past?

3. Select one statement that best describes your investment temperament.

I am more interested in conserving capital than in seeking growth. I prefer to accept moderateincome and little or no growth in exchange for stability and minimum risk.

I understand that in order to achieve higher returns, it is necessary to take some risk. I am willing to accept moderate volatility in the value of my portfolio in exchange for greater income and/or growth potential.

I understand that in order to achieve higher returns, it is necessary to take some risk. I am willing to be more aggressive and face greater risk in order to pursue the possibility of above-average rates of return.

I am more interested in conserving capital than in seeking growth. I prefer to accept moderateincome and little or no growth in exchange for stability and minimum risk.

4. An investment decision involves both returns and risk – the higher the potential for returns, thegreater the risk of high volatility of results, including loss. What influences you most when makingan important investment decision?

I am mainly influenced by potential gain.

I am more influenced by potential gain than by potential loss.

I am more influenced by potential loss than by potential gain.

I am mainly influenced by potential loss.

I am mainly influenced by potential gain.

I am more influenced by potential gain than by potential loss.

I am more influenced by potential loss than by potential gain.

I am mainly influenced by potential loss.

I am mainly influenced by potential gain.

I am more influenced by potential gain than by potential loss.

I am more influenced by potential loss than by potential gain.

I am mainly influenced by potential loss.

5. Which of the following would best describe your reaction to short-term fluctuations in yourinvestment portfolio?

I would be extremely uneasy about any fluctuations in the value of my investment portfolio.

I would be very concerned about short-term fluctuations in the value of my investment portfolio,but not to the extreme

I would have some concern about short-term fluctuations in the value of my investment portfolio

I would have very little concern about short-term fluctuations in the value of my investment portfolio.

I would be extremely uneasy about any fluctuations in the value of my investment portfolio.

I would be very concerned about short-term fluctuations in the value of my investment portfolio,but not to the extreme

I would have some concern about short-term fluctuations in the value of my investment portfolio

I would have very little concern about short-term fluctuations in the value of my investment portfolio.

6. Choose the statement that best reflects you.

I would rather be out of the stock market when it goes down than in the market when it goes up (i.e. I cannot live with the volatility of the stock market).

I would rather be in the stock market when it goes down than out of the market when it goes up (i.e. I may not like the idea, but I can live with the volatility of the stock market in order to earn market returns).

7. If you could increase your chances of achieving all of your goals by taking more risk would you…

Be unlikely to take much more risk?

Be willing to take a little more risk with some of your money?

Be willing to take a little more risk with all of your money?

Be willing to take a lot more risk with all of your money?

1. Describe your knowledge of investments.

2. What kinds of investments have you made in the past?

3. Select one statement that best describes your investment temperament.

4. An investment decision involves both returns and risk – the higher the potential for returns, thegreater the risk of high volatility of results, including loss. What influences you most when makingan important investment decision?

5. Which of the following would best describe your reaction to short-term fluctuations in yourinvestment portfolio?

6. Choose the statement that best reflects you.

7. If you could increase your chances of achieving all of your goals by taking more risk would you…

8. Fill in the following blanks:

It would make me nervous if the loss of any one investment exceeded

in any one year.

It would make me nervous if the loss of the entire portfolio exceeded

in any one year.

Roy Sherman

Contact

1. Describe your knowledge of investments.

2. What kinds of investments have you made in the past?

3. Select one statement that best describes your investment temperament.

4. An investment decision involves both returns and risk – the higher the potential for returns, thegreater the risk of high volatility of results, including loss. What influences you most when makingan important investment decision?

5. Which of the following would best describe your reaction to short-term fluctuations in yourinvestment portfolio?

6. Choose the statement that best reflects you.

7. If you could increase your chances of achieving all of your goals by taking more risk would you…

8. Fill in the following blanks:

​

It would make me nervous if the loss of any one investment exceeded

in any one year.

It would make me nervous if the loss of the entire portfolio exceeded

in any one year.

Roy Sherman

Contact