Risk Assessment Select your financial planner: Ken Bellavance Andrew Castleberry Pat Paxton Your Name Your Email 1. What is your current age? 1. What is your current age? Less than 45 46 to 55 56 to 65 66 to 75 Older than 75 2. When do you expect to start drawing income? 2. When do you expect to start drawing income? Not for at least 20 years In 10 to 20 years In 5 to 10 years Not now, but within 5 years Immediately 3. How long do you expect income withdrawals to last? 3. How long do you expect income withdrawals to last? 0-10 years 10-20 years 20-30 years 30+ years 4. An investment is considered long term if it’s for at least… 4. An investment is considered long term if it’s for at least… 3-5 years 5-10 years 10-20 years 20+ years 5. What is your goal for this investment? 5. What is your goal for this investment? To grow aggressively To grow significantly To grow moderately To grow with caution To avoid losing money 6. Assuming normal market conditions, what would you expect from this investment over time? 6. Assuming normal market conditions, what would you expect from this investment over time? To meet or exceed general stock market returns To generally keep pace with the stock market To slightly trail the stock market, but make a good profit To have some stability, but make modest profits To have a high degree of stability, but make small profits 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … Sell all of the remaining investment. Sell a portion of the remaining investment. Hold onto the investment and sell nothing. Buy more of the invesntment. 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? To lose money To make very little or nothing To make out a little gain To make a modest gain To be little affected by what happens in the stock market 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? I don't mind if I lose money I can tolerate a loss I can tolerate a small loss I'd have a hard time tolerating any losses I need to see at least some return 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? One calendar quarter means nothing. I wouldn't worry about losses in that time frame If I suffered a loss of greater than 10%, I'd get concerned I can only tolerate small short-term losses I'd have a hard time stomaching any losses 11. You have $1,000 and you must pick one of the following choices: 11. You have $1,000 and you must pick one of the following choices: Choice A: You have a 50% chance of gaining $1,000, and a 50% chance of gaining $0. Choice B: You have a 100% chance of gaining $500. 12. You now have $2,000 and you must pick one of the following choices: 12. You now have $2,000 and you must pick one of the following choices: Choice A: You have a 50% chance of losing $1,000, and 50% of losing $0. Choice B: You have a 100% chance of losing $500. 13 + 8 = Submit Your Name Your Email 1. What is your current age? 1. What is your current age? Less than 45 46 to 55 56 to 65 66 to 75 Older than 75 2. When do you expect to start drawing income? 2. When do you expect to start drawing income? Not for at least 20 years In 10 to 20 years In 5 to 10 years Not now, but within 5 years Immediately 3. How long do you expect income withdrawals to last? 3. How long do you expect income withdrawals to last? 0-10 years 10-20 years 20-30 years 30+ years 4. An investment is considered long term if it’s for at least… 4. An investment is considered long term if it’s for at least… 3-5 years 5-10 years 10-20 years 20+ years 5. What is your goal for this investment? 5. What is your goal for this investment? To grow aggressively To grow significantly To grow moderately To grow with caution To avoid losing money 6. Assuming normal market conditions, what would you expect from this investment over time? 6. Assuming normal market conditions, what would you expect from this investment over time? To meet or exceed general stock market returns To generally keep pace with the stock market To slightly trail the stock market, but make a good profit To have some stability, but make modest profits To have a high degree of stability, but make small profits To meet or exceed general stock market returns 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … Sell all of the remaining investment. Sell a portion of the remaining investment. Hold onto the investment and sell nothing. Buy more of the invesntment. 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? To lose money To make very little or nothing To make out a little gain To make a modest gain To be little affected by what happens in the stock market 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? I don't mind if I lose money I can tolerate a loss I can tolerate a small loss I'd have a hard time tolerating any losses I need to see at least some return 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? One calendar quarter means nothing. I wouldn't worry about losses in that time frame If I suffered a loss of greater than 10%, I'd get concerned I can only tolerate small short-term losses I'd have a hard time stomaching any losses 11. You have $1,000 and you must pick one of the following choices: 11. You have $1,000 and you must pick one of the following choices: Choice A: You have a 50% chance of gaining $1,000, and a 50% chance of gaining $0. Choice B: You have a 100% chance of gaining $500. 12. You now have $2,000 and you must pick one of the following choices: 12. You now have $2,000 and you must pick one of the following choices: Choice A: You have a 50% chance of losing $1,000, and 50% of losing $0. Choice B: You have a 100% chance of losing $500. 14 + 11 = Submit Your Name Your Email 1. What is your current age? 1. What is your current age? Less than 45 46 to 55 56 to 65 66 to 75 Older than 75 2. When do you expect to start drawing income? 2. When do you expect to start drawing income? Not for at least 20 years In 10 to 20 years In 5 to 10 years Not now, but within 5 years Immediately 3. How long do you expect income withdrawals to last? 3. How long do you expect income withdrawals to last? 0-10 years 10-20 years 20-30 years 30+ years 4. An investment is considered long term if it’s for at least… 4. An investment is considered long term if it’s for at least… 3-5 years 5-10 years 10-20 years 20+ years 5. What is your goal for this investment? 5. What is your goal for this investment? To grow aggressively To grow significantly To grow moderately To grow with caution To avoid losing money 6. Assuming normal market conditions, what would you expect from this investment over time? 6. Assuming normal market conditions, what would you expect from this investment over time? To meet or exceed general stock market returns To generally keep pace with the stock market To slightly trail the stock market, but make a good profit To have some stability, but make modest profits To have a high degree of stability, but make small profits 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … Sell all of the remaining investment. Sell a portion of the remaining investment. Hold onto the investment and sell nothing. Buy more of the invesntment. 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? To lose money To make very little or nothing To make out a little gain To make a modest gain To be little affected by what happens in the stock market 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? I don't mind if I lose money I can tolerate a loss I can tolerate a small loss I'd have a hard time tolerating any losses I need to see at least some return 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? One calendar quarter means nothing. I wouldn't worry about losses in that time frame If I suffered a loss of greater than 10%, I'd get concerned I can only tolerate small short-term losses I'd have a hard time stomaching any losses 11. You have $1,000 and you must pick one of the following choices: 11. You have $1,000 and you must pick one of the following choices: Choice A: You have a 50% chance of gaining $1,000, and a 50% chance of gaining $0. Choice B: You have a 100% chance of gaining $500. 12. You now have $2,000 and you must pick one of the following choices: 12. You now have $2,000 and you must pick one of the following choices: Choice A: You have a 50% chance of losing $1,000, and 50% of losing $0. Choice B: You have a 100% chance of losing $500. 14 + 4 = Submit Your Name Your Email 1. What is your current age? 1. What is your current age? Less than 45 46 to 55 56 to 65 66 to 75 Older than 75 2. When do you expect to start drawing income? 2. When do you expect to start drawing income? Not for at least 20 years In 10 to 20 years In 5 to 10 years Not now, but within 5 years Immediately 3. How long do you expect income withdrawals to last? 3. How long do you expect income withdrawals to last? 0-10 years 10-20 years 20-30 years 30+ years 4. An investment is considered long term if it’s for at least… 4. An investment is considered long term if it’s for at least… 3-5 years 5-10 years 10-20 years 20+ years 5. What is your goal for this investment? 5. What is your goal for this investment? To grow aggressively To grow significantly To grow moderately To grow with caution To avoid losing money 6. Assuming normal market conditions, what would you expect from this investment over time? 6. Assuming normal market conditions, what would you expect from this investment over time? To meet or exceed general stock market returns To generally keep pace with the stock market To slightly trail the stock market, but make a good profit To have some stability, but make modest profits To have a high degree of stability, but make small profits 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … 7. From September 2008 through November 2008, stocks lost more than 31%. If I owned a stock investment that lost about 31% in 3 months, based on my goals, I would … Sell all of the remaining investment. Sell a portion of the remaining investment. Hold onto the investment and sell nothing. Buy more of the invesntment. 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? 8. Suppose the stock market has below average returns over the next decade (1o yrs), What would you expect from this investment? To lose money To make very little or nothing To make out a little gain To make a modest gain To be little affected by what happens in the stock market 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? 9, Which of these statements would best describe your attitudes about the next three YEARS' performance of this investment? I don't mind if I lose money I can tolerate a loss I can tolerate a small loss I'd have a hard time tolerating any losses I need to see at least some return 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? 10. Which of these statements would best describe your attitudes about the next three MONTHS' performance of this investment? One calendar quarter means nothing. I wouldn't worry about losses in that time frame If I suffered a loss of greater than 10%, I'd get concerned I can only tolerate small short-term losses I'd have a hard time stomaching any losses 11. You have $1,000 and you must pick one of the following choices: 11. You have $1,000 and you must pick one of the following choices: Choice A: You have a 50% chance of gaining $1,000, and a 50% chance of gaining $0. Choice B: You have a 100% chance of gaining $500. 12. You have $2,000 and you must pick one of the following choices: 12. You have $2,000 and you must pick one of the following choices: Choice A: You have a 50% chance of losing $1,000, and 50% of losing $0. Choice B: You have a 100% chance of losing $500. 13 + 3 = Submit