- AdvisorBOB

A Personal Note from your Financial Advisor

Thank you for your trust and confidence in us. The Account Opening Questionnaire will allow me to gather the necessary personal information to open your accounts. After you finish the questionnaire, you will receive a risk questionnaire email with 12 important questions to help us understand your risk tolerance. Once everything has been received, a member of our team will reach out.

When you are ready to start, click the Next Page button below.

Primary Owner - Personal Information

Please enter the primary owner's personal information.

First Name:

Middle Name:

Last Name:

Suffix:

Email:

SSN:

Date of Birth:

Marital Status:

Primary Phone

Home Phone:

Dependents:

Please enter your identification information. Please note that this is optional.

ID Type:

ID Number:

Issue Date:

Exp. Date

Issue State:

Primary Owner - Address Information

Please enter the primary owner's address information.

Street:

City:

State:

Zip Code:

Primary Owner - Employment Information

Please select the appropriate industry from the list below. If you are currently retired, Congrats!, please select “Retired” from the dropdown and enter your previous occupation.

If you are retired, please pick your previous industry, listed retired in the Occupation field, and put your previous employer (Congrats!).

Industry:

Occupation

Employer Name

Phone

Address:

City

State

Zip Code

Primary Owner - Trusted Contact

The trusted contact person is intended to be a resource for GVA in administering your accounts, protecting your assets, and responding to possible financial exploitation. The trusted contact must be 18 or older, and would not be able to conduct transactions in your account.

If you do not have a trusted contact at this time, please select "No" and discuss this with your financial advisor.

Will there be a trusted contact person on this account?

Yes

No

Trusted Contact Name

Relationship to Primary Owner

Trusted Contact Address

Trusted Contact Email

Trusted Contact Phone

Secondary Owner - Personal Information

If you would like to enter a secondary owner's information, please do so below. If you do have a secondary owner listed on any of your accounts, simply select "No" and move on to the next page.

Will there be a secondary owner?

Yes

No

Secondary Owner - Personal Information

Full Name:

SSN:

Date of Birth:

Phone:

Email:

Please enter your identification information. Please note that this is optional.

ID Number:

ID Issue Date:

ID Expiration Date:

ID Issue State:

ID Type:

Secondary Owner - Trusted Contact

The trusted contact person is intended to be a resource for GVA in administering your accounts, protecting your assets, and responding to possible financial exploitation. The trusted contact must be 18 or older, and would not be able to conduct transactions in your account.

Will there be a trusted contact person on the account?

Yes

No

Trusted Contact Name:

Relationship to Secondary Owner

Trusted Contact Address:

Trusted Contact Email:

Trusted Contact Phone:

Financial Information

Please select your annual income, net worth, and liquid net worth from the lists below (Liquid Net Worth should be less than or equal to Net Worth). If you do not know your net worth, liquid net worth, or federal tax bracket, simply leave unanswered and work with your financial advisor to determine these values.

Annual Income

Net Worth

Liquid Net Worth

Liquid net worth is exclusive of real estate; only include assets that can be liquidated within 30 days.

Federal Tax Bracket

Source of Wealth

As we begin the account opening process it is important for us to understand your source of wealth and income. Please select from the appropriate options below.

Employment Income

Inheritance

Real Estate

Investment Income

Retirement Assets

Sale of Home/Business

Investment Experience

Please indicate how many years of experience you have for each investment type below.

Annuities

Bonds

Margin

Options

Mutual Funds

Partnerships

Personal Asset Information

Understanding your total financial picture is important to us, so please use this section to breakdown your percentage of assets by the following categories. Exclusive of your primary home, what is your assets/investments breakdown? (must equal 100%). For example, 20% Equities, 30% Real Estate Investments, 20% Mutual Funds, 10% Checking.

Annuities (%)

Alt. Invest (%)

Bonds (%)

Equities (%)

Real Estate (%)

Checking/Savings (%)

Insurance (%)

Mutual Funds (%)

Total

Beneficiary Information - Retirement Accounts Only

The below section allows you to list up to 5 beneficiaries for your retirement account assets. Each beneficiary should include their name, date of birth, relationship, social security number (SSN), share %, type (Primary vs. Secondary), and Pro Rata vs. Per Stirpes.

As a reminder, this section is optional, so if you aren't familiar with beneficiaries, no problem! You may submit your profile without entering this information and reach out to your financial advisor.

Beneficiary 1 Information

Name

DOB

Relationship

SSN

Share %

Type 1

Pro Rata / Per Stirpes

Beneficiary 2 Information

Name 2

DOB 2

Relationship 2

SSN 2

Share % 2

Type 2

Pro Rata / Per Stirpes 2

Beneficiary 3 Information

Name 3

DOB 3

Relationship 3

SSN 3

Share % 3

Type 3

Pro Rata / Per Stirpes 3

Beneficiary 4 Information

Name 4

DOB 4

Relationship 4

SSN 4

Share % 4

Type 4

Pro Rata / Per Stirpes 4

Beneficiary 5 Information

Name 5

DOB 5

Relationship 5

SSN 5

Share % 5

Type 5

Pro Rata / Per Stirpes 5