Client Suitability Profile Questionnaire - Smith Wealth Advisors Smith Wealth Advisors

Investment Advisors are required by law to act in the best interest of their clients and to determine the suitability of their service based on the financial needs, investment experience, financial objectives and risk tolerance of their clients.

Accordingly, we request that you provide us with the following confidential information that will only be used by Smith Wealth Advisors LLC.
CLIENT PROFILE
The client is:*
- An Individual
- An Entity
An Entity*
- Revocable Trust
- Irrevocable Trust
- Corporation-SCorp
- Corporation-CCorp
- LLC-SCorp
- LLC-CCorp
- LLP
- Partnership
- Non-Profit
- Estate
- Government Entity
Trust/Entity Name*
Salutation
- Mr.
- Mrs.
- Dr.
- Miss
- Ms.
Client Full Name*
First Middle Last
Address
Street Address Address Line 2 City State ZIP Code
Gender
- Male
- Female
Marital Status*
- Single
- Married/Domestic Partner
- Widowed
- Divorced
Total Dependents*
Citizenship*
Email*
Enter Email Confirm Email
Primary Telephone Number*
Phone Number*

YOUR EMPLOYMENT INFORMATION
Are you employed by, or an associated person of, a registered broker-dealer, securities exchange, or the Financial Industry Regulatory Authority (FINRA)?*
- Yes
- No
Are you an officer, director, 10% shareholder or policymaker of a publicly traded company?*
- Yes
- No
Employment Status*
- Employed
- Self-employed
- Not-employed (unemployed, retired, student, minor, homemaker)
Name of Employer*
Name of Company*
Employer Street Address*
Street Address Address Line 2 City State ZIP Code
Occupation*
Industry of Occupation*

YOUR INCOME REQUIREMENTS
Are you dependent on this account to meet any current income requirements?*
- Yes
- No
If Yes, what is your current income requirement from this portfolio?*
When do you need to start receiving income from your investments?*

I have read the above and understand the long-term nature of Smith Wealth Advisors LLC and accounts they manage. I acknowledge that, while in no way am I legally bound for any time period, and that I can terminate the investment management services at any time, I can reasonably expect to keep assets under management for a period of at least 3 - 5 years in order to realize the full benefits of the service. Furthermore, I affirm that the information furnished herein is materially correct and may be relied upon by Smith Wealth Advisors LLC in making any investment recommendation. To the extent that I do not furnish the foregoing information, Smith Wealth Advisors LLC is relieved of its obligation to consider such information in its determination of investment suitability. I agree to notify Smith Wealth Advisors LLC of any material change in my personal situation or financial needs. I acknowledge and understand that any statements of financial goals or objectives by me does not make or imply any guarantee by Smith Wealth Advisors LLC as to the attainment of such goals or objectives. I RECOGNIZE THAT THIS IS A LONG-TERM INVESTMENT PROGRAM AND IS NOT SUITABLE AS A SHORT-TERM TRADING VEHICLE.
Type Name Here:*
First Last
Date*
MM slash DD slash YYYY
Signature*
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CLIENT PROFILE