DWM Financial Group, Inc. | DWM Financial Group, Inc.

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1. Which of the following best describes your attitude about long-term investing in bonds compared to stocks?
The lower return potential of bonds leads me to prefer stocks despite their higher volatility
Since bonds have the least volatility, but also lower returns, I have a hard time choosing between the two
The high volatility of the stock market concerns me, so I prefer to invest in bonds

Please select one option.

2. You have $100,000 to invest. The following choices show a range of possible results of three different types of investments at the end of one year. Which one would you choose?
Total value of $80,000 - $140,000
Total value of $90,000 - $120,000
Total value of $98,000 - $108,000

Please select one option.

3. If you had to choose between more job security with a small pay increase and less job security with a big pay increase, which would you pick?
Definitely more job security with a small pay increase
Probably more job security with a small pay increase
Not sure
Probably less job security with a big pay increase
Definitely less job security with a big pay increase

Please select one option.

4. When you hear "risk" related to your finances, what is the first thought that comes to mind?
I worry that I could be left with nothing
I understand that it's an inherent part of the investing process
I see opportunity for great returns
I think of the thrill of investing

Please select one option.

5. When faced with a major financial decision, are you more concerned about the possible losses or the possible gains?
Always the possible losses
Usually the possible losses
Usually the possible gains
Always the possible gains

Please select one option.

6. If you were ever to experience a 20% decline or more in the value of your investments in one year, what would you do?
Sell everything
Sell some positions
Stay invested
Reallocate my investments
Invest more into the market

Please select one option.

7. What best describes your liquidity needs?
Aside from my portfolio, I have adequate liquid net worth and/or availability in a home equity loan to meet major near-term expenses
I will have to rely on part of my portfolio’s income to meet major near-term expenses
My portfolio is the major source of income for my everyday needs

Please select one option.

8. Which best describes your role in the monitoring and decision-making required to manage your investments?
I need to be able to make every decision and take a very active role in managing my investments
I want to be informed of major changes and/or events to my portfolio but do not want to take an active role of decision-making and monitoring - my trusted advisor can handle the day to day items
I'm not interested in taking an active role at all; I know my trusted investment advisor will provide me with periodic (quarterly) reports and an annual review which will detail my investment situation

Please select one option.

9.How much confidence do you have in your ability to make good financial decisions?
None
A little
A reasonable amount
A great deal
Complete

Please select one option.

10. What is your overall knowledge of investments?
High; I have extensive experience in investing and have a broad understanding of capital markets in general.
Medium; I have some experience investing in mutual funds or individual stocks and bonds
Low; I have very little investment experience outside of bank savings accounts, money market funds, and CDs

Please select one option.

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