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ADDENDUM II CLIENT PROFILE AND SUITABILITY QUESTIONNAIRE Name of Investment Adviser Representative: Section I. This Profile/Suitability Questionnaire applies to the following (Mark all that apply):
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How to fill out client profile and suitability

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Step 1: Collect demographic information about the client, such as their name, age, and contact information.
02
Step 2: Gather financial information, including income, expenses, assets, and liabilities.
03
Step 3: Assess the client's risk tolerance by asking about their investment knowledge, experience, and comfort level with different levels of risk.
04
Step 4: Determine the client's investment goals, time horizon, and any specific preferences or restrictions they may have.
05
Step 5: Evaluate the client's financial situation, risk tolerance, and investment goals to assess their suitability for different investment products.

Who needs client profile and suitability?

01
Financial advisors and wealth managers need client profiles and suitability to understand their clients' financial situation, risk tolerance, and investment goals.
02
Financial institutions and regulators require client profiles and suitability to ensure that customers are being provided with suitable investment advice and products.
03
Individual investors may also benefit from understanding their own financial situation, risk tolerance, and investment goals by going through the client profile and suitability process.
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Client profile and suitability is a document that includes information about a client's financial situation, investment objectives, risk tolerance, and investment knowledge.
Financial institutions and investment advisors are required to file client profile and suitability for their clients.
Client profile and suitability forms can be filled out by the client with the assistance of their financial advisor or investment professional.
The purpose of client profile and suitability is to ensure that investment recommendations are suitable for the client's financial situation and investment objectives.
Information such as financial goals, risk tolerance, investment experience, and income sources must be reported on client profile and suitability.
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