Personal Opinions Worksheet

Click here for printer-friendly version.

 

1. In general, what is your attitude toward the U.S. economy over the next three to five years?

Very negative
Somewhat negative
Neutral
Somewhat positive
Very positive

2. What are your goals for your investments?

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

3. Have you worked with a financial advisor before?

Yes
No

4. If yes, what did you like or dislike about your relationship with your financial advisor?

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

5. Which of the following best describes your sentiments about who makes your investment selections?

I have no preference regarding investment selection and will leave it up to my financial advisor.
I have no preference regarding investment selection, but I would prefer to be informed ahead of time and would like to understand the impact of the investment purchased.
I prefer to have input regarding the selection of my investments and understand that it may have some impact on whether my portfolio's performance meets my goals.

6. What types of financial planning needs do you expect your financial advisor to assist you with? (Select all that apply)

Investment planning
College planning
Retirement planning
Eldercare planning
Income protection/long-term care
Life event planning (job change/divorce)
Insurance planning
Business planning
Estate planning
Not sure

7. What do you expect to accomplish through working with a financial advisor?
_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

8. Are there any investment products you would prefer we do not utilize when crafting
your investment plan?
_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

9. How would you rate your investment knowledge on a scale from 1 to 10 (10 being most knowledgeable)? __________

10. How many years of investment experience do you have? __________

11. Since I do not market to the general public and prefer to obtain most of my clients through referrals, do you have any reservations about introducing my services to friends and family who may have similar financial situations?

     a. Yes
     b. No

12. How frequently do you prefer to receive communication regarding the performance of your investment portfolio?
    
     a. Monthly 
     b. Quarterly
     c. Semiannually
     d. Annually

13. Do you have any concerns about working with a financial advisor?
_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

14. What are your hobbies?
_________________________________________________________________________________________________________

_________________________________________________________________________________________________________

_________________________________________________________________________________________________________