Common use of Financial Institution References Clause in Contracts

Financial Institution References. Reference 2: Reference 3: For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Select the categories that best describe your investment objectives and the risk that you are willing to assume in this account. Different investment products and strategies involve different degrees of risk. The greater the expected returns of a product or strategy, the greater the risk that you could lose some or all of your investment. I nvestments should be chosen based on y our objectives, timeframe, and t olerance for market fluctuations. (Note that a s econdary investment objective is not required) Select One Primary Investment Objective with Your Associated Risk Tolerance (Check one box only)‌ Select One Secondary Investment Objective with Your Associated Risk Tolerance (Check one box only)‌ Capital Preservation ❑ Low You may not choose a secondary investment objective if you select Capital Preservation. Income ❑ Low ❑ Moderate‌ ❑ High‌ Income ❑ Low ❑ Moderate‌ ❑ High‌ Growth ❑ Moderate ❑ High Growth ❑ Moderate ❑ High Speculation ❑ High Speculation ❑ High • Capital Preservation: The object of capital preservation is to protect your initial investment by choosing investments that minimize the potential of a loss of principal. The long-term risk of this strategy is that returns may not offset inflation.

Financial Institution References. Reference 2: Reference 3: For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Select the categories that best describe your investment objectives and the risk that you are willing to assume in this account. Different investment products and strategies involve different degrees of risk. The greater the expected returns of a product or strategy, the greater the risk that you could lose some or all of your investment. I nvestments should be chosen based on y our objectives, timeframe, and t olerance for market fluctuations. (Note that a s econdary secondary investment objective is not required) Select One Primary Investment Objective with Your Associated Risk Tolerance (Check one box only)‌ Select One Secondary Investment Objective with Your Associated Risk Tolerance (Check one box only)‌ Capital Preservation ❑  Low You may not choose a secondary investment objective if you select Capital Preservation. Income ❑  Low ❑ Moderate‌ ❑ High‌  Moderate  High Income ❑  Low ❑ Moderate‌ ❑ High‌ Growth ❑  Moderate ❑  High Growth ❑  Moderate ❑  High Growth  Moderate  High Speculation ❑  High Speculation ❑  High • Capital Preservation: The object of capital preservation is to protect your initial investment by choosing investments that minimize the potential of a loss of principal. The long-term risk of this strategy is that returns may not offset inflation.

Financial Institution References. Reference 1: Reference 2: Reference 3: For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Select the categories that best describe your investment objectives and the risk that you are willing to assume in this account. Different investment products and strategies involve different degrees of risk. The greater the expected returns of a product or strategy, the greater the risk that you could lose some or all of your investment. I nvestments Investments should be chosen based on y our your objectives, timeframe, and t olerance tolerance for market fluctuations. (Note that a s econdary secondary investment objective is not required) Select One Primary Investment Objective with Your Associated Risk Tolerance (Check one box only)‌ Select One Secondary Investment Objective with Your Associated Risk Tolerance (Check one box only)‌ Capital Preservation ❑  Low You may not choose a secondary investment objective if you select Capital Preservation. Income ❑  Low ❑  Moderate‌ ❑  High‌ Income ❑  Low ❑  Moderate‌ ❑  High‌ Growth ❑  Moderate ❑  High Growth ❑  Moderate ❑  High Speculation ❑  High Speculation ❑ High • Capital Preservation: The object of capital preservation is to protect your initial investment by choosing investments that minimize the potential of a loss of principal. The long-term risk of this strategy is that returns may not offset inflation. High