Investment Profile

Rank the investment objectives by entering a value between 1 and 5 in any of the boxes in this section. 1 is the highest.

For definition purposes:

• Preservation of Capital: primarily seeks to preserve capital and avoid loss if investment. Secondarily seeks a minimum return through high quality fixed income investments.
• Capital Appreciation (Growth): seeks capital appreciation through market price increases in investments. Dividend and interest returns may be important, but are not primary considerations.
• Income: seeks regular and consistent returns on investment in the form of interest and dividend payments. Little consideration is given to capital appreciation.
• Growth and Income: seeks a combination of both capital appreciation and return in the form of interest and return in the form of interest and dividend payments.
• Speculation: seeks to maximize total return through a broad range of investment strategies which involve a high level of risk.

Choose One.

For definition purposes:

• Conservative: generally reflects an investor who has a low tolerance for risk. Preservation of capital is often a major consideration. Such an investor is willing to limit or forego capital appreciation opportunities or higher income returns in order to protect their investment capital. • Moderately Conservative:
• Moderate: generally reflects an investor who has the financial resources and investment experience to accept a modest amount of risk in order to achieve capital appreciation or higher income returns. Such and investor can accept some loss of capital in seeking to meet his or her investment goal.
• Moderately Aggressive:
• Aggressive: generally reflects an investor who seeks the most capital appreciation or a higher income return and who is financially able and willing to risk losing a substantial portion of investment capital to achieve his or her objectives. The aggressive investor will seek to maximize his or her total return through a broad range of investments and strategies that may include purchasing low-priced, low rated, or volatile securities, using a high degree of leverage, or engaging in a high level of activity. Knowledge of investment strategies and investment experience are important considerations.

Choose all that apply. There may be multiple sources of funds. Optional for Account Updates.

• Checking/Savings Account
• Home Equity Line of Credit/Reverse Mortgage
• Inheritance
• Other
• Sale of Business Property
• Gift
• Income
• Insurance Payout
• Pension/401(k)
• Social Security Benefits
• Funds from Another Account
• Funds from NFS Account

If you choose Funds From Another Account or Funds from NFS Account, you will also be required to answer the following three questions

• Funds are coming from the liquidation of a securities product to purchase a fixed or variable annuity?
• Funds are coming from a fixed or variable annuity and being used to purchase any securities product?
• Funds are coming from the liquidation of a mutual fund to purchase a mutual fund from another fund family where the client incurs or will incur a liquidation expense from the redemption of a mutual fund or becomes subject to a commission, or liquidation expense, from the purchase of a new mutual fund? If yes, enter the mutual fund sold below.

If you answer yes to any of these three questions, you will be prompted to fill in additional details.

Question:

If Yes:

Funds are coming from the liquidation of a securities product to purchase a fixed or variable annuity?

• Provide Product Company, Product Name, Surrender Charge, Bonus Credit to Account

• Answering yes to this question adds the Annuity Replacement Form to the paperwork bundle that is generated in LaserApp.

Question:

If Yes:

Funds are coming from a fixed or variable annuity and being used to purchase any securities product?

• Provide Product Company, Product Name, Surrender Charge, Bonus Credit to Account

• Answering yes to this question adds the Annuity Replacement Form to the paperwork bundle that is generated in LaserApp.

Question:

If Yes:

Funds are coming from the liquidation of a mutual fund to purchase a mutual fund from another fund family where the client incurs or will incur a liquidation expense from the redemption of a mutual fund or becomes subject to a commission, or liquidation expense from the purchase of a new mutual fund? If yes, enter the mutual fund below

Provide Mutual Fund Sold Answering yes to this question adds the Mutual Fund Switch Authorization Form to the paperwork bundle that is generated in LaserApp.

Check either None, Limited, Good, or Extensive based on the years of experience of the account holders AND

Provide the number of years of experience for each investment type listed.