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For those individuals who invest their own monies

For those individuals who invest their own monies

EVALUATE YOUR SITUATION BELOW

When You Complete This Questionnaire, A Legend Advisor Will Contact You To Discuss Your Answers.

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WHAT DO YOU NOT LIKE ABOUT INVESTING YOUR OWN MONIES?

1. Investment losses/poor returns.

2. I/We are concerned that i/we are not keeping up with financial market returns and/or will keep up with inflation.

3. I/We don't have the investment knowledge and/or understanding to invest/manage my/our monies.

4. I/We cannot decide on how best to invest/manage my/our monies.

5. I/We don't understand how to evaluate investment products and/or securities.

6. I/We don't have the time to perform the necessary investment research to invest my/our monies.

7. I/We don't have access to or know how to use sophisticated investment research information and/or analysis tools (morningstar workstation, bloomberg investment terminal, etc.).

8. I/We are uncomfortable making decisions with regard to managing my/our monies. I/We realize a mistake can cost us substantial losses in poor investment markets or poor returns in otherwise profitable investment markets.

9. I/We don't understand how to calculate accurate performance, analyze and/or measure risk (risk-adjusted returns) on my/our monies.

10. I/We do not know how to evaluate my/our risk-adjusted returns on my/our monies and determine if they are good or bad.

11. I/We don't understand how to evaluate the portfolio managers of the underlying investment products.

12. I/We don't have access to institutional investment vehicles (very low cost).

13. I/We can't evaluate the costs of products properly.

14. I/We don't understand how to construct a portfolio that meets my/our risk/reward objectives.

15. I/We don't understand how to trade securities cost effectively and as a result, i/we understand that we will pay premiums and/or sell securities at deep discounts unnecessarily. This often occurs when trading individual bonds, stocks, exchange-traded funds (etfs), exchange-traded notes (ETNs), closed-end mutual funds, structured notes, etc.

16. I/We do not understand how to trade securities income tax-efficiently. Therefore, i/we understand that we are paying more in income taxes than we need to. I/We also do not know where to place different types of investments for income tax-efficiency.

17. Previously i/we have used the average cost basis (bad) tax methodology rather than specific share lot cost basis (good).

18. I/We have purchased fixed annuity products.

19. I/We have purchased variable annuity products in the past.

20. I/We have purchased whole life insurance policies, endowment policies and/or variable life insurance policies as investments.

21. I/We have purchased structured note products in the past.

Other negatives:

I/We like the following about my/our current situation:

Other reasons i/we are “Do-It-Yourself” investors:

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