June 25, 2018 admin Application SIII ApplicationThis short form helps us get an idea of your investment preferences to help guide our initial discussion. After you complete the form we will contact you by the close of the next business day to set up an initial discussionPlease enable JavaScript in your browser to complete this form.Name *FirstLastEmail *Phone NumberBirthdate *State of Residence *Choose a StateAlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyomingI do not live in the United StatesAcceptable percentage of principal loss in a short time period (less than 1 year) *Up to 5%Up to 10%Up to 15%Up to 20%Up to 25%Lower percentages reflect a more conservative capital preservation goal while higher percentages reflect a more aggressive growth goal.What is your desired rate of return? *0-2.5%2.5-5%5-7.5%7.5-10%10%+Lower percentages reflect a more conservative capital preservation goal while higher percentages reflect a more aggressive growth goal.- Which of the following statements best describes your investment objectives? *My highest priority is to preserve my investments and I am willing to accept minimal return in order to do soI seek to generate income from my investments and am interested in investments that have historically demonstrated a low degree of risk of loss of principal valueI seek to grow the principal value of my investments over time and, in pursuit of these gains, am willing to invest in securities that have historically demonstrated a moderate degree of risk to loss of principal valueI seek to accelerate somewhat the growth of the principal value of my investments over time and, in pursuit of these gains, am willing to invest in securities that have historically demonstrated a moderate to above average degree of risk of loss of principal valueI seek a significant appreciation of the principal value of my investments and, in pursuit of these gains, am willing to accept a greater degree of risk by investing in securities that have historically demonstrated a high degree of risk of loss of principal- How would you respond in the event of a decline in the value of your investments? *I would sell my investments immediately if they were to suffer substantial declinesAlthough declines in investment value make me uncomfortable, I would wait one to two quarters before adjusting my portfolioI can endure significant declines in the value of my investments and would wait at least one year before adjusting my portfolioEven if my investments were to suffer a significant decline over several years, I would continue to follow my long-term investment strategy and not adjust my portfolioI would increase the amount invested in my portfolio in anticipation of an increase in value- Which of the following scenarios would make you more uncomfortable? *Making an investment and watching it decline in valueSelling an investment and watching it increase in value- During the decline in stock market values that took place from 2007 through 2009, what action did you take with respect to your investments? *Sold all equity holdingsModerately decreased equity holdingsNo changesModerately increased equity holdingsSignificantly increased stock holdingsNot applicable- In general, how did you feel about the decline in stock market values from 2007 through 2009? *High level of anxietyModerate level of anxietyAcceptance that short-term losses are part of investing and assurance that the risk I took was reasonable given the potential long-term gains of my investmentsIndifferenceExcited to be able to invest in assets that had declined in value- How would you describe your level of knowledge with regard to finance and investing? *Minimal. I have very little interest in understanding finance and investing, or I have not had the opportunity to learn.Low. I have basic knowledge of finance, such as understanding what stocks, bonds, and mutual funds are.Medium. I have knowledge beyond basic products and I understand diversification and other financial and investing terminology and strategy.High. In addition to understanding most financial products and terminology, I understand factors that affect the price of stocks and bonds.Advanced. I have an in-depth knowledge of most financial products, including stocks, bonds, and options. I understand overall market risk as well as company specific risk.Describe anything else we should know about your investment preferencesExamples: Socially Responsible Investing Preferences, Liquidity Concerns, Time Horizon, etc.EmailSubmit
