Investment Advisor New Client Questionnaire


An investment advisor new client questionnaire is a part of protocol which most insurance agencies require their new candidates to go through. This includes a thorough examination of the current insurance and investment status of the client.

The questions must be direct and relevant and care should be taken to understand the gravity of the document. An investment advisor new client questionnaire can prove to be a huge help in unearthing information about a client and it also says a lot about the client’s investment pattern. This is what makes it a crucial document.

Sample Investment Advisor New Client Questionnaire

Please answer this section of the CLIENT INFORMATION DOCUMENT carefully. All questions are mandatory.

  • Do you have any life insurance? If yes, then please mention details of the same and attach the relevant photocopies of the policies.

_______________________________________________

_______________________________________________

_______________________________________________

_____________________________

  • Do you have medical insurance and if yes, then is the medical insurance claim made through your employer?

_______________________________________________

_______________________________________________

_______________________________________________

_____________________________

  • What is the state of your short or long term disability insurance? If such insurance policies are in use, please attach samples of the same.

_______________________________________________

_______________________________________________

_______________________________________________

_____________________________

  • Have you ever had, or currently have, umbrella liability insurance? Mention the company, policy number, type of policy and so on in the space provided below:

_______________________________________________

_______________________________________________

_______________________________________________

_____________________________

  • Do you have any of the following insurance policies? Provide details

(a)    Auto insurance

(b)   Homeowner’s or rent insurance

(c)    Any other kind of insurance

  • What is your gross annual income? Please include a copy of the latest tax return statement by the Federal and State governments.

_______________________________________________

_______________________________________________

_______________________________________________

_____________________________

Declaration: I ___________________ [name] attest to the truth and verity of the facts mentioned above. These facts are true and accurate to the best of my knowledge. In case of any errors being disclosed later, I shall hold myself responsible and shall subject myself to litigation as applicable.

Category: Investment Questionnaire

Comments are closed.

Copy Protected by Chetan's WP-Copyprotect.