Spreadsheet: 467928d1467050241-template-solution-needed-new-profile
Sheet: Profile

Meeting Date: |  |  |  |  |  | DOB: | FOLLOW UP |  |  |  |  |  |  |  |  |  | INVESTMENT OBJECTIVE & GOALS
Review: |  |  |  |  |  |  | OPEN ITEMS |  | DATE | NOTES |  |  |  |  |  |  | Questions
ACCT # |  | REGISTRATION |  |  |  | TYPE | Investment Related |  |  |  |  |  |  |  |  |  | Primary financial objective:
 |  |  |  |  |  |  | Estate Planning
 |  |  |  |  |  |  | Tax Item |  |  |  |  |  |  |  |  |  | Desired after-tax income:
 |  |  |  |  |  |  | Heath Insurance
 |  |  |  |  |  |  | Life Insurance |  |  |  |  |  |  |  |  |  | 3 biggest investment worries:
 |  |  |  |  |  |  | LTC
 |  |  |  |  |  |  | Disability Insurance |  |  |  |  |  |  |  |  |  | If you didn't have to work, what would you do:
 |  |  |  |  |  |  | Property/Casualty Insurance
 |  |  |  |  |  |  | Identity Theft |  |  |  |  |  |  |  |  |  | Upcoming expenses, e.g. wedding:
 |  |  |  |  |  |  | Real Estate Purchase
 |  |  |  |  |  |  | Mortgage/Refinance
 |  |  |  |  |  |  | Travel Plans
 |  |  |  |  |  |  | Company Retirement Plan
 |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | CLIENT PROFILE
ASSET ALLOCATION |  |  |  |  |  |  | Professional Relationships |  |  |  |  |  |  |  |  |  | Questions
FINANCIAL STATUS |  |  |  |  |  |  |  |  | AS OF | NAME |  | STATUS | PDA | NOTES |  |  | ● Schools attended:
RISK TOLERANCE & TIME HORIZON |  |  |  |  |  |  |  | Financial Advisor |  |  |  |  |  |  |  |  | ● How important is that relationship:
INVESTMENT OBJECTIVE & GOALS |  |  |  |  |  |  |  | Life, LTC, Disability
INVESTMENT RESTRICTIONS |  |  |  |  |  |  |  | Health Insurance |  |  |  |  |  |  |  |  | ● Top accomplishment:
INVESTMENT PERFORMANCE |  |  |  |  |  |  |  | Supplemental Insurance
ADVISORY ACCOUNT FEES |  |  |  |  |  |  |  | Estate Attorney |  |  |  |  |  |  |  |  | ● Hobbies:
 |  |  |  |  |  |  |  | CPA
Notes |  |  |  |  |  |  |  | Doctor |  |  |  |  |  |  |  |  | ● Ideal weekend/vacation:
 |  |  |  |  |  |  |  | Home/Auto Ins. Agent
 |  |  |  |  |  |  |  | Realtor |  |  |  |  |  |  |  |  | ● What you enjoy reading:
 |  |  |  |  |  |  |  | Mortgage Broker
 |  |  |  |  |  |  |  | Travel Agent |  |  |  |  |  |  |  |  | ● How do you process information (big picture or detail):
 |  |  |  |  |  |  | Family |  |  |  |  |  |  |  |  |  | ● Most important family relationships:
 |  |  |  |  |  |  | NAME |  | M/F | RELATION | PHONE | NAME |  | M/F | RELATION | PHONE
 |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | ● Most important professional relationships:
 |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | ● Others who hold great influence:
 |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | ● History of identity theft:
 |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | ● Others we should involve in financial process:
 |  |  |  |  |  |  | Referrals |  |  |  |  |  |  |  |  |  | ● How often would you like a review:
 |  |  |  |  |  |  | NAME |  | M/F | RELATION | PHONE | NAME |  | M/F | RELATION | PHONE
By signing below, I represent that the information contained in this form is complete and accurate.  In addition to the items noted above I also represent that I have given the client the opportunity to ask questions regarding the account.  Further, based on the above and my client’s financial status, risk tolerance & investment objectives and goals, I hereby represent that the advisory account remains appropriate and suitable for the client:
Advisor Signature |  |  | Name