June 9, 2020
INVESTMENT ADVISER MARKETING FEEDBACK FORM
1. Have you ever hired, or considered hiring, an investment adviser? Because investment advisers are the subject of this proposed rulemaking, please focus your responses in this questionnaire on investment advisers rather than brokers. : No
2. Have you viewed any investment adviser advertisements? For example, have you looked at an advisers website or a presentation? : Yes
3. Have you looked at an advisers past performance results when considering hiring an investment adviser?
No
4. Have you ever specifically requested past performance results from the investment adviser? : No
5. If you have viewed an advisers past performance results, have you discussed them with the adviser? : No
6. If you have viewed an advisers past performance results, did you believe that those past performance results would predict the future performance that the adviser could achieve for you? : Yes
7. How important is it to know the following information when reviewing the past performance results of an adviser?
Performance results minus fees and expenses (i.e., net performance) : Very Important
A schedule of the specific fees and expenses deducted to calculate net performance : Very Important
Performance results for one-, five-, and ten-year periods : Very Important
Other information (if any, please describe) : I FEEL INVESTMENT ADVISOR ARE IMPORTANT ESPECIALY WHEN I NOW SEE HOW FUNDS CAN GET AWAY WHEN ONE IS A VICTIM OF IDENITY THEFT. THE FEES PAID FOR THE SERVICE CAN SAVE MANY DOLLORS GOING OUT OF ONES ACCOUNT, AND TRADING HOUSES ARE NOT AS SENTIVE TO LOOKING OUT FOR THEIT CUSTOMER. IT HAS HAPPON TO ME FROM ==OPTIONSXPRESS HERE I HAD OVER $300,000 SAVINGS AND OVER $400,000. IRS FUNDS VIA TDAMERITRADE. THE SRVICE PEOPLE THEY USE ARE NOT SENSITIVE TO REACTING TO CUSTOMERS COMPLAINT. JUST ASUMING ALL OK WHEN THEY ARE NOT.
8. Have you reviewed hypothetical performance results that demonstrated how an investment strategy could have or would have worked?
No
9. Have you reviewed targeted performance returns or projected performance returns?
Yes
If yes, did you discuss with the adviser the underlying assumptions on which those targets or projections were based?
No
10. Would other peoples opinions of the adviser (e.g., testimonials by advisory clients, and endorsements by non-clients), or an advisers rating by a third-party (e.g., Rated B+ by Adviser Reports) help you choose an investment adviser? : Yes
11. How important is it to know the following information when considering a testimonial, endorsement, or rating of an adviser?
Whether the person giving the testimonial or endorsement is a current client : Very Important
Whether the adviser pays the person giving the testimonial, endorsement, or the rating : Very Important
How recent the rating is, and the period of time it covers : Very Important
Other information (if any, please describe) : THE MORE ONE KNOWS ABOUT ADVISOR THE BETTER. ALSO, REFERANCES FROM ADVISOR IS CRITICAL
12. What other information do you think would make the advertisements not misleading?
Tell the truth, not words one might like to hear that can cause one to loose money
13. Has a paid salesperson (a solicitor) ever referred you to an investment adviser? : No
14. Would it affect your decision to hire an investment adviser if you knew that the adviser paid a salesperson to refer you to the adviser? : Yes
15. How important is it to know the following information about a paid salespersons referral?
Amount paid to the solicitor for referring you to the adviser : Very Important
Whether there will be any additional cost to you: Very Important
The solicitors relationship to the adviser : Very Important
Whether the solicitor has been disciplined for financial-related misconduct : Very Important
Other information (if any, please describe) : In todays environment there is a problem with people telling the truth . As TRUMP does and think nothing of how it effects everyone.