July 22, 2018
1. Overall, do you find the Relationship Summary useful? If not, how would you change it? If so, what topics and how can they be improved?:
I am very pleased with my financial advisor. He does a great job at explaining the financial end of things. He also does a great job at training the associates that work under him. He also follows up on us to make sure we are staying to the plan. He also makes sure we know if we need anything or have questions that we should call him to help us out.
2. How useful is each section of the Relationship Summary? Please consider explaining your responses in the comments:
a. Type of Relationship and Service: Very Useful:
b. Our Obligations to You: Very Useful:
c. Fees and Costs: Very Useful: He makes sure we understand each fee we will or will not be charged for.
d. Comparison to different account types: Very Useful: He is very good at explaining the different accounts
e. Conflict of Interests: Very Useful:
f. Additional Information: Very Useful:
g. Key Questions to Ask: Very Useful:
3. Please answer the following questions. Please consider explaining your responses in the comments:
a. Do you find the format of the Relationship Summary easy to follow?: Yes:
b. Is the information in the appropriate order?: Yes:
c. Is the Relationship Summary easy to read?: Yes:
d. Should the Relationship Summary include additional information about different account types?: Yes:
e. Would you seek out additional information about a firm's disciplinary history as suggested in the Relationship Summary?: Somewhat:
4. Are there topics in the Relationship Summary that are too technical or that could be improved?:
My financial advisor makes sure that I understand each section.
5. Is there additional information that we should require in the Relationship Summary,such as more specific information about the firm or additional information about fees? Is that because you do not receive the information now, or because you would also like to see it presented in this summary document, or both? Is there any information that should be made more prominent?:
no
6. Is the Relationship Summary an appropriate length? If not, should it be longer or shorter?:
it is at the right length
7. Do you find the 'Key Questions to Ask' useful? Would the questions improve the quality of your discussion with your financial professional? If not, why not?:
yes
8. Do you have any additional suggestions to improve the Relationship Summary? Is there anything else you would like to tell us?:
no