Client Questionnaire (Mini Fact Finder) The information requested in this Client Questionnaire is helpful to consider before meeting with a Financial Planner to enable recommendations to be made and will be used solely for that purpose. The Corporations Law requires that an adviser making investment recommendations must have reasonable grounds for making those recommendations. This means that an advisor must conduct an appropriate investigation as to the financial objectives, situation and particular needs of the client. According to the Financial Planning Association of Australia Limited (FPA) ... “Financial Planning is the process of providing advice and assistance to a client for the purposes of achieving the client’s financial goals.� The FPA defines the six steps of the financial planning process as follows: 1. 2. 3. 4. 5. 6.
The collection and analysis of all relevant personal and financial data. The identification of financial problems. The identification of financial goals and objectives. The provision of a written report with recommendations. The co-ordination and implementation of recommendations. The provision or periodic reviews and plan updates.
Thank you for preparing your answers to this questionnaire. All of the information below will be held in the strictest of confidence.
Suite 3/ 333 Wantirna Road Wantirna VIC 3152
1800-713-732
admin@findfinancialplanner.com
YOUR KEY OBJECTIVES & THE SCOPE OF THIS ADVICE Legislation requires that the advisor must know the client before making any recommendations. However, there is a provision that in certain circumstances an advisor may supply limited advice. If you are seeking limited advice of a particular nature you must make this known at the time of the interview and you should recognize that the recommendations will only relate to that limited advice being sought. Indicate your required areas of advice below: A full and comprehensive analysis of your financial concerns, needs and objectives OR Limited advice addressing the following priorities: Investment & Wealth Accumulation: Develop a savings and investment plan Reduce the amount of taxation you pay Providing funds for our children’s education Review personal risk profile & Investment spread Insurance: Personal risk review – Death cover Personal risk review – Income protection cover Personal risk review – Serious illness or trauma Personal risk review – Permanent disability Other: Superannuation and Retirement:
Retirement funding & super contributions Consolidate your superannuation funds Advice on redundancy payment Retirement income strategies Centrelink pension & benefits Self Managed Super Funds (SMSF) Loans & Debt: Consolidate/ reduce debts Borrow to invest
Suite 3/ 333 Wantirna Road Wantirna VIC 3152
1800-713-732
admin@findfinancialplanner.com
PERSONAL DETAILS Client
Partner
Title Mr Mrs Miss Ms Other:
Title Mr Mrs Miss Ms Other
Given Name
Given Name
Preferred Name
Preferred Name
Surname
Surname
Date of Birth
Date of Birth
Place of Birth
Place of Birth
Sex
Male
Female
Sex
Male
Female
Marital Status
Marital Status
Single Married Divorced Other:
Single Married Divorced Other:
Residential Address
Postal Address
Address Line 1
Address Line 1
Address Line 2
Address Line 2
Suburb
Suburb
State
Postcode
State
Postcode
Contact Details Home Telephone
Fax
Work Telephone
Work Telephone
Mobile
Mobile
DEPENDENT DETAILS Name Sex
Date of Birth
Age
Eligible for Austudy?
Male Female
Yes No
Male Female
Yes No
Male Female
Yes No
TAX STATUS Personal Company Trust Super Fund Other:
Suite 3/ 333 Wantirna Road Wantirna VIC 3152
1800-713-732
admin@findfinancialplanner.com