First Name(Required)

Last Name(Required)

Account Type(Required)

Email

1. Which statement best describes your knowledge of investments?

Client:(Required)

2. What is the intended use of the account?

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

3. What best describes the client's investment objectives/goals for the account?

Income

Focuses on generating steady income, typically through interest-paying investments like government bonds or income-focused mutual funds. Capital growth is a secondary concern.

Growth

Aims for capital appreciation over time by investing in non-speculative stocks or mutual funds. This objective carries moderate risk for potential long-term gains.

Aggressive Growth

Targets high returns through speculative, high-risk investments like volatile stocks, options, or private placements. Suitable for investors comfortable with significant risk and limited liquidity.

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

4. What best describes the clients investment time horizon for the account?

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

5.1. How does the client characterize their willingness to accept risk in order to achieve their investment objectives? Enter the applicable score

Score 1

The client wishes to maintain their account value and accept a relatively low amount of risk, less than 10% of principal.

Score 2

The client is willing to accept increased risk of loss including the potential for 10-25% losses of principal.

Score 3

The client is willing to accept increased risk of loss including the potential for 25-50% losses of principal.

Score 4

The client is willing to accept maximum risk of loss including the potential for over 51% loss of principal.

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

5.2. Which statement best describes how you feel about the trade-off between potential returns and declines?

Score 1

I'm more focused on potential declines in my portfolio's value. The return I achieve is of secondary importance.

Score 2

The potential for declines is equally important to me as the potential return.

Score 3

I am somewhat more focused on the return potential of my portfolio than on potential declines.

Score 4

My return potential is my primary focus.

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

5.3. There is a trade-off between larger potential short-term fluctuations and a portfolio's long-term growth potential, as shown in the table below. Which portfolio would you be most confortable with?

Score 1

Portfolio A
Long-Term Average Return: 3%
Possible Gain in One-year Period: 15%
Possible Decline in One-year Period: -10%

Score 2

Portfolio B
Long-Term Average Return: 5%
Possible Gain in One-year Period: 25%
Possible Decline in One-year Period: -20%

Score 3

Portfolio C
Long-Term Average Return: 7%
Possible Gain in One-year Period: 35%
Possible Decline in One-year Period: -30%

Score 4

Portfolio D
Long-Term Average Return: 8%
Possible Gain in One-year Period: 45%
Possible Decline in One-year Period: -45%

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

5.4. There have been several periods in history in which the value of the market has dropped 25% or more in a year. If the value of your portfolio fell at least 25% in one year, how would you react?

Score 1

I would move my money to different investments to reduce the potential for more declines, even if this meant missing a potential recovery.

Score 2

I would be concerned and would consider moving into different investments if the declines continued.

Score 3

I would continue investing according to my long-term strategy.

Score 4

I would view this as an opportunity and would consider investing more if I had the money available.

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

5.5. In making financial and investment decisions you are:

Score 1

Very conservative and try to minimize risk and avoid the possibility of any loss.

Score 2

Conservative but willing to accept a small amount of risk.

Score 3

Willing to accept a moderate level of risk and tolerate losses to achieve potentially higher returns.

Score 4

Aggressive and typically take on significant risk and are willing to tolerate large losses for the potential of achieving higher returns.

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

6.1. What is the client's average annual income (from all sources)?

Score 1

Less than $50,000

Score 2

$50,001 - $100,000

Score 3

$100,001 - $250,000

Score 4

Greater than $250,001

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

6.2. What is your estimated net worth (investments, cash, home and other real estate less mortgage loans and all other debts)?

Score 1

Less than $100,000

Score 2

$100,001 - $500,000

Score 3

$500,001 - $1,000,000

Score 4

Greater than $1,000,001

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

6.3. This investment account represents approximately what percentage of your total financial assets (Total savings and investments include all the money you have in cash savings, GICs, savings bonds, mutual funds, stocks and bonds)?

Score 1

More than 75.1%

Score 2

50.1%-75%

Score 3

25.1%-50%

Score 4

Less than 25%

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

6.4. If the client were to face an emergency (i.e. home repair, job loss, reduction of income etc.) representing over $50,000 required in a year, how much would the client need to withdraw from this account?

Score 1

Over 80%

Score 2

51-79%

Score 3

25-50%

Score 4

Less than 25%

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

6.5. How would you classify your overall financial situation?

Score 1

No savings and significant debt

Score 2

Some savings and some debt

Score 3

Some savings and little or no debt

Score 4

Significant savings and little or no debt

Account - Cash:(Required)

Account - Margin:(Required)

Account - RSP:(Required)

Account - RSP-Spousal:(Required)

Account - RSP-Locked-in:(Required)

Account - RSP-Group:(Required)

Account - RSP-Group Spousal:(Required)

Account - RIF:(Required)

Account - RIF-Spousal:(Required)

Account - RIF-Locked-in:(Required)

Account - TFSA:(Required)

Account - RESP-Family:(Required)

Account - RESP-Ind:(Required)

Account - RDSP-Client Name:(Required)

Account - COD/DVP:(Required)

Invest

1. Which statement best describes your knowledge of investments?

2. What is the intended use of the account?

3. What best describes the client's investment objectives/goals for the account?

Income

Growth

Aggressive Growth

4. What best describes the clients investment time horizon for the account?

5.1. How does the client characterize their willingness to accept risk in order to achieve their investment objectives? Enter the applicable score

Score 1

Score 2

Score 3

Score 4

5.2. Which statement best describes how you feel about the trade-off between potential returns and declines?

Score 1

Score 2

Score 3

Score 4

5.3. There is a trade-off between larger potential short-term fluctuations and a portfolio's long-term growth potential, as shown in the table below. Which portfolio would you be most confortable with?

Score 1

Score 2

Score 3

Score 4

5.4. There have been several periods in history in which the value of the market has dropped 25% or more in a year. If the value of your portfolio fell at least 25% in one year, how would you react?

Score 1

Score 2

Score 3

Score 4

5.5. In making financial and investment decisions you are:

Score 1

Score 2

Score 3

Score 4

6.1. What is the client's average annual income (from all sources)?

Score 1

Score 2

Score 3

Score 4

6.2. What is your estimated net worth (investments, cash, home and other real estate less mortgage loans and all other debts)?

Score 1

Score 2

Score 3

Score 4

6.3. This investment account represents approximately what percentage of your total financial assets (Total savings and investments include all the money you have in cash savings, GICs, savings bonds, mutual funds, stocks and bonds)?

Score 1

Score 2

Score 3

Score 4

6.4. If the client were to face an emergency (i.e. home repair, job loss, reduction of income etc.) representing over $50,000 required in a year, how much would the client need to withdraw from this account?

Score 1

Score 2

Score 3

Score 4

6.5. How would you classify your overall financial situation?

Score 1

Score 2

Score 3

Score 4