Common use of Risk Tolerance Descriptions Clause in Contracts

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions questio ns about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List) Under $25,000  Under $25,000 50,000  Under $50,000  10%  15%  25%  28%  33%  35%  Bonds  $25,000-$49,999  $50,000-$99,999  $50,000-$99,999  Options  $50,000-$99,999  $100,000-$249,999  $100,000-$249,999  Commodities  $100,000-$249,999  $250,000-$499,999  $250,000-$499,999  Futures  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 500,000-$999,999  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999 Mutual Funds  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999 1,000,000$3,000,000  $1,000,000-$3,000,000  Over Other (List)  $1,000,000-$3,000,000 Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Over $3,000,000 Over $3,000,000 For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand u nderstand I could lose a portion p ortion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 Incom 1e (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List) Under $25,000  Under $25,000 50,000  Under $50,000  10%  15%  25%  28%  33%  35%  Bonds  $25,000-$49,999  $50,000-$99,999  $50,000-$99,999  Options  $50,000-$99,999  $100,000-$249,999  $100,000-$249,999  Commodities  $100,000-$249,999  $250,000-$499,999  $250,000-$499,999  Futures  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 500,000-$999,999  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999 Mutual Funds  $500,000-$999,999  $1,000,000-$3,000,000  $1,000,000-$3,000,000  Other (List)  $1,000,000-$3,000,000  Over $3,000,000  Under Over $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 3,000,000  Over $3,000,000 Additional Customer Information Annual Expen 4 ses (Recurring) Special Expen 5 ses (Future/ Non-Recurring) Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc.  10$50,000 and under  $50,000 and under  $50,001-100,000  $50,001-100,000  $100,001-250,000  $100,001-250,000  $250,001-500,000  Over $250,000  Over $500,000 The investments in this account will be: Timeframe for Special (Check one) Expenses Special  Less than 1/3 of my financial portfolio Expense:  Roughly 1/3 to 2/3 of my financial portfolio  Within 2 years  More than 2/3 of my financial portfolio  3-5 years  6-10 years  11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account?  Under 3 years  3-5 years  6-10 years  11-20 years  Over 20 years  Unknown For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply)  Generate income for current or future expenses  Income from Earnings  Partially fund my retirement  Investments/ Transfer from Brokerage Account  Wholly fund my retirement  Gift  Steadily accumulate wealth over the long term  Sale of Business or Real Estate  Preserve wealth and pass it on to my heirs  Inheritance  Pay for educational expenses  Pension/ IRA/ Retirement Savings  Market speculation  Spouse/ Parent/ Relative  Other:  Legal/ Insurance Settlement  Lottery/Gaming  Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $ 5. Beneficiary Designation Name and Address Birth Date Social Security #* Relationship Beneficiary Type* Share %*  Primary  Contingent _%  12Primary  Contingent _%  22Primary  Contingent _%  24Primary  Contingent _% *Note: Beneficiaries must have a social security number. In the event of your death, the Primary Beneficiaries will receive the proceeds of your IRA in equal shares or in the specified Share %, if indicated. If no Primary Beneficiary survives you, the Contingent Beneficiaries will receive the proceeds of your IRA in equal shares or in the specified Share %, if indicated. If the Beneficiary Type box is not checked for a beneficiary, the beneficiary will be deemed to be a Primary Beneficiary. If no beneficiary is listed, the balance in the account shall be paid to your estate. The total % of all Primary Beneficiaries must equal 100%; the total % of all Contingent Beneficiaries, if designated should also equal 100%. If you elect to have a predeceased Primary Beneficiary’s proceeds distributed to contingent beneficiaries equally or in the specified Share %, if indicated, instead of equally divided among surviving Primary Beneficiaries, check here.  32%  35%  37% Additional Customer InformationIf you check this option, you must provide the name and social security number of the contingent beneficiary.

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions questio ns about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  10%  12%  22%  24%  32%  35%  37% For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience Experience‌ (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 Worth2‌ (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate Rate‌  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under $25,000  Under $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000 50,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  10%  12%  22%  24%  32%  35%  37%  Bonds  $25,000-$49,999  $50,000-$99,999  $50,000-$99,999  Options  $50,000-$99,999  $100,000-$249,999  $100,000-$249,999  Commodities  $100,000-$249,999  $250,000-$499,999  $250,000-$499,999  Futures  $250,000-$499,999  $500,000-$999,999  $500,000-$999,999  Mutual Funds  $500,000-$999,999  $1,000,000-$3,000,000  $1,000,000-$3,000,000  Other (List)  $1,000,000-$3,000,000  Over $3,000,000  Over $3,000,000  Over $3,000,000 For Office Use Only: Acct.# Office: Financial Professional: Name for Filing: Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Recurring) (Future/ Non-Recurring)  $50,000 and under  $50,000 and under  $50,001-100,000  $50,001-100,000  $100,001-250,000  $100,001-250,000  $250,001-500,000  Over $500,000  Over $250,000 The investments in this account will be: Timeframe for Special Expenses (Check one)  Less than 1/3 of my financial portfolio Roughly1/3 to 2/3 of my financial portfolio Special Expense:  Within 2 years  3-5 years  6-10 years  More than 2/3 of my financial portfolio  11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account?  Under 3 years  3-5 years  6-10 years  11-20 years  Over 20 years  Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply)  Generate income for current or future expenses  Income from Earnings  Partially fund my retirement  Investments/ Transfer from Brokerage Account  Wholly fund my retirement  Gift  Steadily accumulate wealth over the long term  Sale of Business or Real Estate  Preserve wealth and pass it on to my heirs  Inheritance  Pay for educational expenses  Pension/ IRA/ Retirement Savings  Market speculation  Spouse/ Parent/ Relative  Other:  Legal/ Insurance Settlement  Lottery/Gaming Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 Incom 1e (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  ❑ Bonds  ❑ Options  ❑ Commodities  ❑ Futures  ❑ Mutual Funds  ❑ Other (List)  ❑Under $25,000  ❑$25,000-$49,999  ❑$50,000-$99,999  ❑$100,000-$249,999  ❑$250,000-$499,999  ❑$500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  ❑Under $50,000  ❑$50,000-$99,999  ❑$100,000-$249,999  ❑$250,000-$499,999  ❑$500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  ❑Under $50,000  ❑$50,000-$99,999  ❑$100,000-$249,999  ❑$250,000-$499,999  ❑$500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  ❑10%  12❑15%  22❑25%  24❑28%  32❑33%  ❑35%  37% Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a hom e purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $500,000 ❑ Over $250,000 The investments in this account will be: Timeframe for Special Expenses (Check one) Special Expense: _ ❑ Less than 1/3 of my financial portfolio ❑ Roughly 1/3 to 2/3 of my financial portfolio ❑ Within 2 years ❑ 3-5 years ❑ More than 2/3 of my financial portfolio ❑ 6-10 years ❑ 11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ IRA/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑ Legal/ Insurance Settlement ❑ Lottery/Gaming ❑Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $ 5. Beneficiary Designation Name and Address Birth Date Social Security #* Relationship Beneficiary Type* Share %* ❑ Primary ❑ Contingent _% ❑ Primary ❑ Contingent _% ❑ Primary ❑ Contingent _% ❑ Primary ❑ Contingent _% *Note: Beneficiaries must have a social security number. In the event of your death, the Primary Beneficiaries will receive the proceeds of your IRA in equal shares or in the specified Share %, if indicated. If no Primary Beneficiary survives you, the Contingent Beneficiaries will receive the proceeds of your IRA in equal shares or in the specified Share %, if indicated. If the Beneficiary Type box is not checked for a beneficiary, the beneficiary will be deemed to be a Primary Beneficiary. If no beneficiary is listed, the balance in the account shall be paid to your estate. The total % of all Primary Beneficiaries must equal 100%; the total % of all Contingent Beneficiaries, if designated should also equal 100%. If you elect to have a predeceased Primary Beneficiary’s proceeds distributed to contingent beneficiaries equally or in the specified Share %, if indicated, instead of equally divided among surviving Primary Beneficiaries, check here. ❑ If you check this option, you must provide the name and social security number of the contingent beneficiary.

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income in come or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand understa nd I could lose a portion port ion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this accountaccount , the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  _______ _ ❑ Under $25,000 ❑ Under $50,000 ❑ Under $50,000 ❑10% ❑12% ❑22% ❑24% ❑32% ❑35% ❑37% ❑ Bonds  ❑ $25,000-$49,999 ❑ $50,000-$99,999 ❑ $50,000-$99,999 ❑ Options  _______ _ ❑ $50,000-$99,999 ❑ $100,000-$249,999 ❑ $100,000-$249,999 ❑ Commodities  __________ ❑ $100,000-$249,999 ❑ $250,000-$499,999 ❑ $250,000-$499,999 ❑ Futures  ❑ $250,000-$499,999 ❑ $500,000-$999,999 ❑ $500,000-$999,999 ❑ Mutual Funds  _______ _ ❑ $500,000-$999,999 ❑ $1,000,000-$3,000,000 ❑ $1,000,000-$3,000,000 ❑ Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alim ony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your pr imary res id en c e among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $250,000 ❑ Over $500,000 For Office Use Only: Acct.# Office: Financial Professional: Name for Filing: The investments in this account will be: (Check one) Timeframe for Special Expenses 3 Liquid net worth is your net worth minus assets tha t c xxx ot be c onverted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets ea rmarked f or ot he r purposes, and investments or accounts subject to substantial pe nalt i es i f t he y were sold or if assets were withdrawn from them. ❑ Less than 1/3 of my financial portfolio Special Expense:____ _ ❑ Roughly 1/3 to 2/3 of my financial portfolio ❑ More than 2/3 of my financial portfolio ❑ Within 2 years ❑ 3-5 years ❑ 6-10 years ❑ 11 years or more 4 Annual expenses might include mortgage payments, rent, lo ng - t er m debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home , a c ar purchase, education, medical expenses, etc. Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ IRA/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑ Legal/ Insurance Settlement ❑ Lottery/Gaming ❑ Other: ______ _ _ _ _ _ Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  ❑ Under $25,000 ❑ Under $50,000 ❑ Under $50,000 ❑ 10% ❑ Bonds  ❑ $25,000-$49,999 ❑ $50,000-$99,999 ❑ $50,000-$99,999 ❑ 12% ❑ Options  ❑ $50,000-$99,999 ❑ $100,000-$249,999 ❑ $100,000-$249,999 ❑ 22% ❑ Commodities  ❑ $100,000-$249,999 ❑ $250,000-$499,999 ❑ $250,000-$499,999 ❑ 24% ❑ Futures  ❑ $250,000-$499,999 ❑ $500,000-$999,999 ❑ $500,000-$999,999 ❑ 32% ❑ Mutual Funds  ❑ $500,000-$999,999 ❑ $1,000,000-$3,000,000 ❑ $1,000,000-$3,000,000 ❑ 35% ❑ Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  10%  12%  22%  24%  32%  35%  ❑ 37% Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions questio ns about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List) Under $25,000  Under $25,000 50,000  Under $50,000  10%  Bonds  $25,000-$49,999  $50,000-$99,999  $50,000-$99,999  12%  Options  $50,000-$99,999  $100,000-$249,999  $100,000-$249,999  22%  Commodities  $100,000-$249,999  $250,000-$499,999  $250,000-$499,999  24%  Futures  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 500,000-$999,999  Over $3,000,000 32%  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999 Mutual Funds  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999 1,000,000$3,000,000  $1,000,000-$3,000,000  Over 35%  Other (List)  $1,000,000-$3,000,000 Over $3,000,000 Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Over $3,000,000 Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Recurring) (Future/ Non-Recurring)  $50,000 and under  $50,000 and under  $50,001-100,000  $50,001-100,000  $100,001-250,000  $100,001-250,000  $250,001-500,000  Over $500,000  Over $250,000 The investments in this account will be: Timeframe for Special Expenses (Check one)  Less than 1/3 of my financial portfolio Special Expense:  Roughly1/3 to 2/3 of my financial portfolio  Within 2 years  3-5 years  More than 2/3 of my financial portfolio  6-10 years  11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account?  Under 3 years  3-5 years  6-10 years  11-20 years  Over 20 years  Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply)  Generate income for current or future expenses  Income from Earnings  Partially fund my retirement  Investments/ Transfer from Brokerage Account  Wholly fund my retirement  Gift  Steadily accumulate wealth over the long term  Sale of Business or Real Estate  Preserve wealth and pass it on to my heirs  Inheritance  Pay for educational expenses  Pension/ IRA/ Retirement Savings  Market speculation  Spouse/ Parent/ Relative  Other: Legal/ Insurance Settlement  Lottery/Gaming Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  ❑ Bonds  ❑ Options  ❑ Commodities  ❑ Futures  ❑ Mutual Funds  ❑ Other (List)  ❑Under $25,000  ❑$25,000-$49,999  ❑$50,000-$99,999  ❑$100,000-$249,999  ❑$250,000-$499,999  ❑$500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  ❑Under $50,000  ❑$50,000-$99,999  ❑$100,000-$249,999  ❑$250,000-$499,999  ❑$500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  ❑Under $50,000  ❑$50,000-$99,999  ❑$100,000-$249,999  ❑$250,000-$499,999  ❑$500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  ❑10%  ❑12%  ❑22%  ❑24%  ❑32%  ❑35%  ❑37% Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $500,000 ❑ Over $250,000 For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: The investments in this account will be: Timeframe for Special Expenses 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Check one) Special Expense: _ ❑ Less than 1/3 of my financial portfolio ❑ Within 2 years ❑ Roughly 1/3 to 2/3 of my financial portfolio ❑ 3-5 years ❑ More than 2/3 of my financial portfolio ❑ 6-10 years ❑ 11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ IRA/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑ Legal/ Insurance Settlement ❑ Lottery/Gaming ❑Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. For Office Use Only: Acct.# Office: Financial Professional: Customer Financial Information Financial Information Name for Filing: The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience Experience‌ (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 Worth2‌ (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Rate‌ ❑ Stocks  ❑ Bonds  ❑ Options  ❑ Commodities  ❑ Futures  ❑ Mutual Funds  ❑ Other (List)  ❑ Under $25,000  ❑ $25,000-$49,999  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑Over $3,000,000  ❑ Under $50,000  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$2,999,999 ❑ $3,000,000-$50,000,000 ❑ Over 50,000,000 ❑ Under $50,000 ❑ $50,000-$99,999 ❑ $100,000-$249,999 ❑ $250,000-$499,999 ❑ $500,000-$999,999 ❑ $1,000,000-$3,000,000  ❑Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  ❑ 10%  ❑ 12%  ❑ 22%  ❑ 24%  ❑ 32%  ❑ 35%  ❑ 37% Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $250,000 ❑ Over $500,000 The investments in this account will be: Timeframe for Special Expenses (Check one) ❑ Less than 1/3 of my financial portfolio Special Expense: _ ❑ Roughly1/3 to 2/3 of my financial portfolio ❑ Within 2 years ❑ 3-5 years ❑ More than 2/3 of my financial portfolio ❑ 6-10 years ❑ 11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ IRA/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑Legal/ Insurance Settlement ❑ Lottery/Gaming ❑Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income in come or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand understa nd I could lose a portion port ion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand un derstand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this accountaccount , the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  _______ _ ❑ Under $25,000 ❑ Under $50,000 ❑ Under $50,000 ❑10% ❑12% ❑22% ❑24% ❑32% ❑35% ❑37% ❑ Bonds  ❑ $25,000-$49,999 ❑ $50,000-$99,999 ❑ $50,000-$99,999 ❑ Options  _______ _ ❑ $50,000-$99,999 ❑ $100,000-$249,999 ❑ $100,000-$249,999 ❑ Commodities  __________ ❑ $100,000-$249,999 ❑ $250,000-$499,999 ❑ $250,000-$499,999 ❑ Futures  ❑ $250,000-$499,999 ❑ $500,000-$999,999 ❑ $500,000-$999,999 ❑ Mutual Funds  _______ _ ❑ $500,000-$999,999 ❑ $1,000,000-$3,000,000 ❑ $1,000,000-$3,000,000 ❑ Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alim ony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not inc lude your pr imary res id en c e among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $250,000 ❑ Over $500,000 For Office Use Only: Acct.# Office: Financial Professional: Name for Filing: The investments in this account will be: (Check one) Timeframe for Special Expenses 3 Liquid net worth is your net worth minus assets tha t c xxx ot be c onverted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets ea rmarked f or ot he r purposes, and investments or accounts subject to substantial pe nalt i es i f t he y were sold or if assets were withdrawn from them. ❑ Less than 1/3 of my financial portfolio Special Expense:____ _ ❑ Roughly 1/3 to 2/3 of my financial portfolio ❑ More than 2/3 of my financial portfolio ❑ Within 2 years ❑ 3-5 years ❑ 6-10 years ❑ 11 years or more 4 Annual expenses might include mortgage payments, rent, lo ng - t er m debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home , a c ar purchase, education, medical expenses, etc. Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ IRA/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑ Legal/ Insurance Settlement ❑ Lottery/Gaming ❑ Other: ______ _ _ _ _ _ Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions questio ns about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  ❑ Bonds  ❑ Options  ❑ Commodities  ❑ Futures  ❑ Mutual Funds  ❑ Other (List)  ❑ Under $25,000  ❑ $25,000-$49,999  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑ Over $3,000,000  ❑ Under $50,000  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑ Over $3,000,000  ❑ Under $50,000  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑ Over $3,000,000  ❑ 10%  ❑ 12%  ❑ 22%  ❑ 24%  ❑ 32%  ❑ 35%  ❑ 37% For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $250,000 ❑ Over $500,000 The investments in this account will be: Timeframe for Special Expenses (Check one) ❑ Less than 1/3 of my financial portfolio ❑Roughly1/3 to 2/3 of my financial portfolio Special Expense: _ ❑ Within 2 years ❑ 3-5 years ❑ 6-10 years ❑ More than 2/3 of my financial portfolio ❑ 11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ IRA/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑ Legal/ Insurance Settlement ❑ Lottery/Gaming ❑Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions questio ns about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 Over $3,000,000  Over Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000$3,000,000 Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. For Office Use Only: Acct.# Office: Financial Professional: Name for Filing: Investment Experience Experience‌ (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 Worth2‌ (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Rate‌ ❑ Stocks  ❑ Bonds  ❑ Options  ❑ Commodities  ❑ Futures  ❑ Mutual Funds  ❑ Other (List)  ❑ Under $25,000  ❑ $25,000-$49,999  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑Over $3,000,000  ❑ Under $50,000  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$3,000,000  1,000,000$3,000,000 ❑Over $3,000,000  ❑ Under $50,000  ❑ $50,000-$99,999  ❑ $100,000-$249,999  ❑ $250,000-$499,999  ❑ $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑Over $3,000,000  ❑ 10%  ❑ 12%  ❑ 22%  ❑ 24%  ❑ 32%  ❑ 35%  ❑ 37% Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $250,000 ❑ Over $500,000 The investments in this account will be: Timeframe for Special Expenses (Check one) ❑ Less than 1/3 of my financial portfolio Special Expense: ❑ Roughly1/3 to 2/3 of my financial portfolio ❑ Within 2 years ❑ 3-5 years ❑ More than 2/3 of my financial portfolio ❑ 6-10 years ❑ 11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ IRA/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑Legal/ Insurance Settlement ❑ Lottery/Gaming ❑Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List) Under $25,000  Under $25,000 50,000  Under $50,000  10%  Bonds  $25,000-$49,999  $50,000-$99,999  $50,000-$99,999  12%  Options  $50,000-$99,999  $100,000-$249,999  $100,000-$249,999  22%  Commodities  $100,000-$249,999  $250,000-$499,999  $250,000-$499,999  24%  Futures  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 500,000-$999,999  Over $3,000,000 32%  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999 Mutual Funds  $500,000-$999,999  $1,000,000-$3,000,000  $1,000,000-$3,000,000  35%  Other (List)  $1,000,000-$3,000,000  Over $3,000,000  Under Over $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 3,000,000  Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  ❑Under $25,000 ❑Under $50,000 ❑Under $50,000 ❑10% ❑ Bonds  ❑$25,000-$49,999 ❑$50,000-$99,999 ❑$50,000-$99,999 ❑12% ❑ Options  ❑$50,000-$99,999 ❑$100,000-$249,999 ❑$100,000-$249,999 ❑22% ❑ Commodities  ❑$100,000-$249,999 ❑$250,000-$499,999 ❑$250,000-$499,999 ❑24% ❑ Futures  ❑$250,000-$499,999 ❑$500,000-$999,999 ❑$500,000-$999,999 ❑32% ❑ Mutual Funds  ❑$500,000-$999,999 ❑$1,000,000-$3,000,000 ❑$1,000,000-$3,000,000 ❑35% ❑ Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑Over $3,000,000  10%  12%  22%  24%  32%  35%  ❑37% Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $25,000-$49,999 $50,000-$99,999 $100,000-$249,999 $250,000-$499,999 $500,000-$999,999 $1,000,000-$3,000,000 Over $3,000,000  Under Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $50,000-$99,999 $100,000-$249,999 $250,000-$499,999 $500,000-$999,999 $1,000,000-$3,000,000 Over $3,000,000  Under Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $50,000-$99,999 $100,000-$249,999 $250,000-$499,999 $500,000-$999,999 $1,000,000-$3,000,000 Over $3,000,000  1010%  1212%  2222%  2424%  3232%  3535%  3737% Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience Experience‌ (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 Worth2‌ (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Rate‌ ❑ Stocks  ❑ Under $25,000 ❑ Under $50,000 ❑ Under $50,000 ❑ 10% ❑ 12% ❑ 22% ❑ 24% ❑ 32% ❑ 35% ❑ 37% ❑ Bonds  ❑ $25,000-$49,999 ❑ $50,000-$99,999 ❑ $50,000-$99,999 ❑ Options  ❑ $50,000-$99,999 ❑ $100,000-$249,999 ❑ $100,000-$249,999 ❑ Commodities  ❑ $100,000-$249,999 ❑ $250,000-$499,999 ❑ $250,000-$499,999 ❑ Futures  ❑ $250,000-$499,999 ❑ $500,000-$999,999 ❑ $500,000-$999,999 ❑ Mutual Funds  ❑ $500,000-$999,999 ❑ $1,000,000-$3,000,000 ❑ $1,000,000-$3,000,000 ❑ Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  ❑ $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑ Over $3,000,000  10%  12%  22%  24%  32%  35%  37% For Office Use Only: Acct.# Office: Financial Professional: Name for Filing: Additional Customer InformationInformation Annual Expenses4 Special Expenses5 Description of Terms 1 Annual income includes income from sources such as employment, alimony, social security, investment income, etc. 2 Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage. 3 Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them. 4 Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc. 5 Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc. (Recurring) (Future/ Non-Recurring) ❑ $50,000 and under ❑ $50,000 and under ❑ $50,001-100,000 ❑ $50,001-100,000 ❑ $100,001-250,000 ❑ $100,001-250,000 ❑ $250,001-500,000 ❑ Over $250,000 ❑ Over $500,000 The investments in this account will be: Timeframe for Special Expenses (Check one) ❑ Less than 1/3 of my financial portfolio ❑Roughly1/3 to 2/3 of my financial portfolio Special Expense: ❑ Within 2 years ❑ 3-5 years ❑ 6-10 years ❑ More than 2/3 of my financial portfolio ❑ 11 years or more Investment Time Horizon - When is the earliest that you expect to need funds from this account? ❑ Under 3 years ❑ 3-5 years ❑ 6-10 years ❑ 11-20 years ❑ Over 20 years ❑ Unknown I plan to use this account for the following (Check all that apply) What is your source of funds for this account (Check all that apply) ❑ Generate income for current or future expenses ❑ Partially fund my retirement ❑ Wholly fund my retirement ❑ Steadily accumulate wealth over the long term ❑ Preserve wealth and pass it on to my heirs ❑ Pay for educational expenses ❑ Market speculation ❑ Other: ❑ Income from Earnings ❑ Investments/ Transfer from Brokerage Account ❑ Gift ❑ Sale of Business or Real Estate ❑ Inheritance ❑ Pension/ XXX/ Retirement Savings ❑ Spouse/ Parent/ Relative ❑ Legal/ Insurance Settlement ❑ Lottery/Gaming ❑Other: Other Investment Information (Optional) - Please consider providing us with additional information about your other investments to help us more fully understand your financial situation and the types of investments or strategies that may be appropriate for your total investment portfolio. (Use additional pages if needed) Investment Type/Description Firm Holding Your Investment Amount of Investment $ $ $

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. For Office Use Only: Acct. # Office#: Reg. Rep#: Name for Filing Customer Financial Information Financial Information - Primary Applicant The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Additional Customer InformationFinancial Information – Co-Applicant (If applicable) Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  Over $3,000,000  10%  12%  22%  24%  32%  35%  37%

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.  Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand u nderstand I could lose a portion po rtion of the money invested.  High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 Incom 1e (From all Sources) Net Worth2 Worth2‌ (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate Rate‌  Stocks  Bonds  Options  Commodities  Futures  Mutual Funds  Other (List)  Under $25,000  Under $50,000  Under $50,000  10%  15%  25%  28%  33%  35%  Bonds  $25,000-$49,999  $50,000-$99,999  $50,000-$99,999  Options  $50,000-$99,999  $100,000-$249,999  $100,000-$249,999  Commodities  $100,000-$249,999  $250,000-$499,999  $250,000-$499,999  Futures  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 500,000-$999,999  Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999 Mutual Funds  $500,000-$999,999  $1,000,000-$3,000,000  $1,000,000-$3,000,000  Other (List)  $1,000,000-$3,000,000  Over $3,000,000  Under Over $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000 3,000,000  Over $3,000,000  10%  12%  22%  24%  32%  35%  37% Additional Customer Information

Risk Tolerance Descriptions.  Low (Conservative): I want to preserve my initial principal in this account, with minimal risk, even if that means this account does doe s not generate significant generat e s ignific an t income or returns and may not keep pace with inflation.  • Moderate: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion portio n of the money invested.  • High (Aggressive): I am willing to accept high risk to my initial principal, including high volatility, to seek higher returns over time, and understand I could lose all or a substantial amount of the money invested. Customer Financial Information Financial Information The more we know about you and your goals for this account, the better we can serve you. Please answer the following questions about your investment inves tme n t experience and financial situation to help us determine which investment products and strategies are suitable for you. Investment Experience (Include Years of Experience) Annual Income1 (From all Sources) Net Worth2 (Exclusive of Residence) Liquid Net Worth3 (Cash, Securities, etc.) Federal Tax Rate  ❑ Stocks  ❑Under $25,000 ❑Under $50,000 ❑Under $50,000 ❑10% ❑ Bonds  ❑$25,000-$49,999 ❑$50,000-$99,999 ❑$50,000-$99,999 ❑12% ❑ Options  _______ _ ❑$50,000-$99,999 ❑$100,000-$249,999 ❑$100,000-$249,999 ❑22% ❑ Commodities  ❑$100,000-$249,999 ❑$250,000-$499,999 ❑$250,000-$499,999 ❑24% ❑ Futures  ❑$250,000-$499,999 ❑$500,000-$999,999 ❑$500,000-$999,999 ❑32% ❑ Mutual Funds  ___ _ ❑$500,000-$999,999 ❑$1,000,000-$3,000,000 ❑$1,000,000-$3,000,000 ❑35% ❑ Other (List)  Under $25,000  $25,000-$49,999  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  ❑$1,000,000-$3,000,000  ❑Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑Over $3,000,000  Under $50,000  $50,000-$99,999  $100,000-$249,999  $250,000-$499,999  $500,000-$999,999  $1,000,000-$3,000,000  ❑Over $3,000,000  10%  12%  22%  24%  32%  35%  ❑37% Additional Customer Information