Client Financial Suitability and Risk Tolerance Questionnaire

Collects a client's financial situation, investment objectives, time horizon, and risk tolerance to support suitability and best-interest documentation for investment recommendations.

Submission Notice and Consent

• I understand this questionnaire will be used to assess suitability and support investment recommendations.
• Consent to collect and use my personal and financial information for suitability review
  This form may collect PII and financial information needed for suitability documentation. Do not include sensitive information unless it is necessary for your review.
• Preferred contact method

Client Profile

• Full name
• Date of birth
  Optional unless needed for account matching or regulatory review.
• Client type
• Number of people supported by this household

Financial Situation

• Annual household income range
• Estimated net worth range
• Liquid assets available for investing
• Expected monthly cash flow needs from investments
• Material debt obligations that may affect investing

Investment Objectives

• Primary investment objective
• Secondary objectives
• Describe your investment goals

Time Horizon and Liquidity

• Expected time horizon for these investments
• How likely are you to need access to these funds before the time horizon ends?
• Expected withdrawals or distributions

Risk Tolerance and Experience

• Investment experience level
• Overall risk tolerance
• Maximum short-term loss you could accept without changing your strategy
• How comfortable are you with market fluctuations?

Special Considerations and Attestation

• Special considerations or restrictions
• Additional notes
• I attest that the information provided is true and complete to the best of my knowledge.