Investor Profile Questionnaire

Welcome to the LPL Financial / Sandene Strategies Investor Profile Questionnaire.

Your answers to the questions that follow will give you a perspective into your investment objective based upon your Time Horizon, Financial Goals, and Risk Tolerance.

There may be more factors, other than those discussed, that affect your specific financial situation.

If you would like to discuss your questionnaire results, please contact your financial advisor.

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Name*
Location

Time Horizon

1. What is your age?*
2. What is your primary financial goal?*
3. What is the time frame in which you hope to achieve your financial goals?*

Financial Goals

4. Which of the following best describes your financial goals?*
5. In five years, how do you expect your standard of living to compare to what it is today?*
6. Five years from today, you expect your portfolio value to be:*
7. Generating current income from your portfolio is:*
8. With the income generated from your portfolio, you plan to:*

Risk Tolerance

9. Imagine you’ve just received a large amount of money. How would you invest it?*
10. Which of the following statements would best describe your reaction if the value of your portfolio were to suddenly decline by 15%?*
Definitions:

Certificates of Deposit: A deposit made for a specific period of time (one month to five years, plus) at fixed interest rate for a specific amount of money. The interest rate is guaranteed by the issuing financial institution and the return of principal, up to $250,000 (per unique account registration, per bank) is guaranteed by the U.S. government (FDIC / NCUA).

U.S. Government Securities: Publicly-traded notes and bonds issued by the United States of America. Return of principal is guaranteed if held to the maturity date. U.S. notes and bonds sold before the maturity date could incur gains or losses. Past performance does not guarantee future results.

Blue-Chip Stocks: Publicly-traded common stock issued by large, financially stable, and well-established companies. Gains and losses are possible. Past performance does not guarantee future results.

Stocks of New Growth Companies: Publicly-traded common stock issued by smaller, fast-growing but less-established companies. The possibility exists for significant price swings, gains and losses. Past performance does not guarantee future results.

11. Which of the following investments would you feel most comfortable owning?*
12. Which of the following investments would you least like to own?*
13. Which of the following investments do you feel are the most ideal for your portfolio?*
14. How optimistic are you about the long-term prospects for the economy?*
15. Which of the following best describes your attitude about investments outside the U.S.?*
Time Horizon × 1 + Financial Goals × 2 + Risk Tolerance × 3. Range: 34–125.