Form Test - Globalink Securities

Entity Name (if applicable) :

Personal Information

Name *

First

Last

Date of Birth *

Spouse’s Name

First

Last

Address *

Address Line 1

Address Line 2

City

State

Zip Code

Phone Number *

Email *

Financial Situation

Employment Status *

Other *

What is your current annual household income *

What is your liquid net worth: (Excluding primary residence) *

What is the value of your residence(s) *

What is the value of any other significant illiquid asset(s) *

What are your current annual income needs from investments *

Risk Tolerance & Investment Objectives

Acceptable percentage of principal loss in a short-term period? (less than 1 year) *

What is your desired annual rate of return? *

What are your primary investment goals? (Choose all that apply) *

Other *

Desired time horizon for achieving your investment goals *

Less than 3 years
3-5 years
6-10 years
More than 10 years

Which of the following statements best describes your investment objectives? *

My highest priority is to preserve my investments and I am willing to accept minimal return in order to do so
I seek to generate income from my investments and am interested in investments that have historically demonstrated a low degree of risk of loss of principal value
I seek to grow the principal value of my investments over time and, in pursuit of these gains, am willing to invest in securities that have historically demonstrated a moderate degree of risk to loss of principal value
I seek to accelerate somewhat the growth of the principal value of my investments over time and, in pursuit of these gains, am willing to invest in securities that have historically demonstrated a moderate to above average degree of risk of loss of principal value
I seek a significant appreciation of the principal value of my investments and, in pursuit of these gains, am willing to accept a greater degree of risk by investing in securities that have historically demonstrated a high degree of risk of loss of principal

How would you respond in the event of a decline in the value of your investments? *

I would sell my investments immediately if they were to suffer substantial declines
Although declines in investment value make me uncomfortable, I would wait one to two quarters before adjusting my portfolio.
I can endure significant declines in the value of my investments and would wait at least one year before adjusting my portfolio.
Even if my investments were to suffer a significant decline over several years, I would continue to follow my long-term investment strategy and not adjust my portfolio.
I would increase the amount invested in my portfolio in anticipation of an increase in value.

Which of the following scenarios would make you more uncomfortable? *

Making an investment and watching it decline in value.
Selling an investment and watching it increase in value.

During the decline in stock market values that took place from Market deeply drop, what action would you take with respect to your investments? *

How would you describe your level of knowledge with regard to finance and investing? *

Minimal. I have very little interest in understanding finance and investing, or I have not had the opportunity to learn.
Low. I have basic knowledge of finance, such as understanding what stocks, bonds, and mutual funds are.
Medium. I have knowledge beyond basic products and I understand diversification and other financial and investing terminology and strategy.
High. In addition to understanding most financial products and terminology, I understand factors that affect the price of stocks and bonds.
Advanced. I have an in-depth knowledge of most financial products, including stocks, bonds, and options. I understand overall market risk as well as company-specific risk.

For how many years, if any, have you owned each of the following types of investments?

	None	Under 5 years	5-10 years	10-15 years	15-20 years	up to 20 years
Mutual funds	NoneMutual funds None	Under 5 yearsMutual funds Under 5 years	5-10 yearsMutual funds 5-10 years	10-15 yearsMutual funds 10-15 years	15-20 yearsMutual funds 15-20 years	up to 20 yearsMutual funds up to 20 years
Stocks	NoneStocks None	Under 5 yearsStocks Under 5 years	5-10 yearsStocks 5-10 years	10-15 yearsStocks 10-15 years	15-20 yearsStocks 15-20 years	up to 20 yearsStocks up to 20 years
Bonds	NoneBonds None	Under 5 yearsBonds Under 5 years	5-10 yearsBonds 5-10 years	10-15 yearsBonds 10-15 years	15-20 yearsBonds 15-20 years	up to 20 yearsBonds up to 20 years
Options	NoneOptions None	Under 5 yearsOptions Under 5 years	5-10 yearsOptions 5-10 years	10-15 yearsOptions 10-15 years	15-20 yearsOptions 15-20 years	up to 20 yearsOptions up to 20 years
Structure Products	NoneStructure Products None	Under 5 yearsStructure Products Under 5 years	5-10 yearsStructure Products 5-10 years	10-15 yearsStructure Products 10-15 years	15-20 yearsStructure Products 15-20 years	up to 20 yearsStructure Products up to 20 years
Variable annuities	NoneVariable annuities None	Under 5 yearsVariable annuities Under 5 years	5-10 yearsVariable annuities 5-10 years	10-15 yearsVariable annuities 10-15 years	15-20 yearsVariable annuities 15-20 years	up to 20 yearsVariable annuities up to 20 years
ETFs	NoneETFs None	Under 5 yearsETFs Under 5 years	5-10 yearsETFs 5-10 years	10-15 yearsETFs 10-15 years	15-20 yearsETFs 15-20 years	up to 20 yearsETFs up to 20 years
REITs	NoneREITs None	Under 5 yearsREITs Under 5 years	5-10 yearsREITs 5-10 years	10-15 yearsREITs 10-15 years	15-20 yearsREITs 15-20 years	up to 20 yearsREITs up to 20 years
Limited partnerships/Private Placements	NoneLimited partnerships/Private Placements None	Under 5 yearsLimited partnerships/Private Placements Under 5 years	5-10 yearsLimited partnerships/Private Placements 5-10 years	10-15 yearsLimited partnerships/Private Placements 10-15 years	15-20 yearsLimited partnerships/Private Placements 15-20 years	up to 20 yearsLimited partnerships/Private Placements up to 20 years

Date Completed *

Additional Information

Do you have any existing investments? If yes, please provide details.

Are there any specific sectors, industries, or investment types you are interested in or would like to avoid?

Any other preferences or constraints you would like us to consider?

Declaration: I hereby confirm that the information provided above is accurate to the best of my knowledge.

Signature *

Clear Signature

Date *

Globalink Securities and Wealth Management Financial & Investment Questionnaire