1. Background Information - Test Sample - JJ 01092020

The Client Profile must be completed prior to a strategy or product recommendation. Multiple recommendations may re-use sections 1 - 4 if within 90 days of original client signature date or completion date when a client signature is not required. A photo copy of original sections 1 - 4 must be attached to the newly completed sections 5 - 8 for each product recommendation/sale.

Complete all fields in each section. If not applicable, use “N/A”. Bolded fields with an asterisk are critical for good order review and if not completed, will delay processing.

The completion of a separate Risk Tolerance Questionnaire for each investment goal is also required to complete this form. Please review all documents for completeness and consistency prior to submission.

219 Central Avenue SE

City, AL 51041

www.bastechnicssalteam.com

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test@email.com tes1t@email.com



First Name
Last Name
Year of Birth
Street Address
City
State
Zip
Please complete previous address if changed within last 12 months
Street Address
City
State
Zip
Citizenship:	US Resident Alien Non-Resident
If non-US, specify

Day/Work Phone:
Evening/Home Phone:
Mobile Phone:
Email:
Status:	Employed Self-Employed Retired Unemployed
Occupation: (?)If retired, specify former occupation.
Employer Name:
Employer Address:
Employer Address:
No. of Years:
Education (?)If client did not achieve High School diploma, note Section 4. Additional Client Notes and Important Considerations.	HS Assoc. BA/BS Masters/Ph.d