| In order for your Financial Advisor to develop the proper
investment recommendations for you, please provide the following important information: |
- Client Name:
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Address:
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Phone Number:
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E-Mail Address:
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- Date of birth (mm/dd/yy):
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- Soc. Security or Tax ID No. (optional):
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- Financial Advisor's Name (if any):
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Financial Advisor's Firm and Branch Office:
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Financial Advisor's Phone Number:
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- Account No. (if any):
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- What is the approximate value of your total investment
assets including CDs, bank accounts, mutual funds and other securities?
$
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- Of your total investment assets above, what dollar amount is
currently available for investment?
$
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| Please answer the following questions with regard to only the assets
currently available for investment. You must answer all of the following questions
to receive a no-cost, no obligation asset allocation report. |
- In how many years do you expect to need access to your
funds? For example, if you are using the funds toward your retirement, in how many
years do you plan to retire?
1 to less than 3
Years
3 to less than 5
Years
5 Years or more
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- Do you wish to receive current income (interest plus
dividends) of more than 3% per year from this portfolio?
Yes
No
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- Please describe your attitude toward the investment of this
portfolio by checking the most appropriate number below. The higher the number
checked, the more aggressive you consider yourself to be.
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- Please select the most accurate description of your primary
investment objective for this portfolio.
A. Income:
primary objective is current income with an emphasis on safety of principal.
B. Income
with Growth: primary objective is current income with some growth of
capital.
C. Growth
and Income: primary objective is balanced between current income and
growth of capital.
D. Growth:
primary objective is growth of capital with some current income.
E. Maximum
Growth: primary objective is growth of capital without regard to
current income.
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- Please select the hypothetical portfolio with the five-year
investment performance that best reflects your preference for your portfolio.
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| Your level of comfort with various investment returns is important.
Historically, the more volatile the portfolio (a greater range of potential returns), the
higher the average return has been. Of course, there is no assurance that this will
remain true in the future. Therefore, you must balance your investment goals with
your tolerance for risk and ability to accept and sustain a loss. Please remember
that the table shown above is a hypothetical illustration of various potential annual
returns. It does not represent in any way the past or future performance of any
investment program or portfolio. |
- If our evaluation suggests that investments in equity
sectors such as Health & Biotechnology, Technology & Communications, Financial
Services and Energy & Basic Materials are suitable for your portfolio, do you wish to
have a portion of your assets invested in these markets?
Yes
No
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| If your are completing this questionnaire for an IRA or other retirement
plan, please check here: |
- For your fixed income investments, please indicate below
whether you wish to primarily use taxable or federally non-taxable (municipal) securities.
If instead, you prefer to invest primarily in equity portfolios only,
leave the Taxable and Federally Non-taxable boxes blank and select the Primarily Equities
Only box below.
Taxable
Federally
Non-Taxable
Primarily
Equities Only
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Thank you for your proposal request.
If you would like to erase
all of the answers above, please click on the reset button below. Please read our
Privacy Policy at the end of this form prior to submitting it to us. To
automatically submit your completed questionnaire to Saratoga, please click on the submit
button below. Finally, you may submit your completed questionnaire to Saratoga via
fax by printing out the questionnaire and faxing it to (734) 213-3739. Saratoga
works with various independent investment professionals. One of these investment
professionals may contact you to discuss your asset allocation report.
Privacy Policy for The Saratoga
Advantage Trust
The Saratoga Advantage Trust ("Saratoga")
respects your right to privacy. We also know that you expect us to conduct and
process your business in an accurate and efficient manner. To do so, we must collect
and maintain certain nonpublic personal information about you. This is the
information we collect from you on applications or other forms, from your activities on
our website, and from the transactions you make with us, our affiliates, or third
parties. We do not disclose any nonpublic personal information about you or any of
our former customers to anyone, except as permitted by law. Specifically, so that we
may continue to offer you investment products and services to help you meet your investing
needs, and to effect transactions that you request or authorize, we may disclose the
nonpublic personal information we collect to companies that perform services on our
behalf, such as Saratoga's transfer agent, or printers and mailers that assist us in the
distribution of investor materials. These companies are instructed to use this
information only for the services for which we hired them and are not permitted to use or
share this information for any other purpose. To protect your nonpublic personal
information internally, we permit access only by authorized employees and maintain
physical, electronic and procedural safeguards to guard your nonpublic personal
information. |