Risk Survey Instructions

Risk Survey Instructions:

University Associates would appreciate your assistance by providing responses to the following questions that will help us make appropriate recommendations to you. Please answer with your first response and do not attempt to read too much into any question.

When you return this survey, please also include copies of your most recent financial statements for your accounts. In order to provide investment recommendations most appropriate for your account, we will need to know your specific investment goals and how the management of this account fits with your entire portfolio of assets. After receiving the Risk Survey back from you, we will schedule an interview, during which we will ask you about some of your other assets. Please have available during that time approximate account values for your other financial accounts. The final page of the document is our Privacy Policy and our Codes of Ethics which assure you of the safety of any information that you provide to our firm.

Demographic information:

CLIENT NAME: ____________________________________ Birth date _____________

JOINT CLIENT: ____________________________________ Birth date _____________

Home Address: __________________________________________________

City, State, Zip: __________________________________________________

Home Phone: __________________ Work phone ________________

E-mail: _______________________________________

Contact me by (circle one)

Preferred Contact Person during business hours? E-mail or Phone

General information:

I have been investing for ______ years.

I expect over the long term the stock market will return: 8% 10% 12% 14% 16%

Who designed your current investment portfolio? _______________________________

How frequently do you review your investment account? ________________________

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I have previously received advice from the following types of financial service providers

(if none, do not select any):

___ CPA – Certified Public Accountant ___ CFA – Chartered Financial Analyst

___ CFP – Certified Financial Planner ___ Insurance broker

___ Stock broker ___ Friends or family

Risk analysis:

For each of the following statements, please assign a rank between 1 and 5 (5 being strongly

agree)

___ I want to retire at or above my current standard of living.

___ I feel that I am on my way to a secure retirement.

___ If a stock declines in price, I consider it a poor selection.

___ I believe that the United States economy is fundamentally sound.

___ I want to achieve higher long-term return in the value of my account, and I can accept

significant short-term swings in values.

___ I feel comfortable making my own investment decisions.

___ I don’t want to take risk with my investments.

___ I second guess my investment decisions when they’ve done poorly.

___ I am interested in stable growth in the value of my account, even if that means somewhat

lower returns over time.

___ I understand the concept of volatility in the stock market.

___ I need my investment account to provide current income.

___ I feel comfortable with fluctuations in my account’s value.

___ Over the long term the U.S. stock market does well.

___ I am comfortable delegating the decisions in my investment account to professionals.

___ I get very anxious about short-term movements (up or down) in my account balance.

___ If a stock I’ve chosen is lower than its purchase price one year later, I want to sell it.

___ I do not mind paying capital gains taxes in exchange for account return.

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Mail or Fax to:

Mailing Address:

University Associates
9876 Bull Avenue
Suite B-54
Las Vegas , Nevada 89123

Fax Number: 1-702-555-9533