S T O N E G A T ES T O N E G A T E

An Independent FirmF I N A N C I A L

02

WHEN WE BEGIN OUR RELATIONSHIP WITH CLIENTS, THERE ARE TWO FUNDAMENTAL QUESTIONS WE’RE ASKED WHEN WE START TALKING ABOUT RETIREMENT. MAYBE YOU’VE THOUGHT ABOUT THEM, TOO:

1. Will I make it?2. Do I have any financial blindspots?

With those two questions in mind, and to provide you with comprehensive wealth management

services necessary to pursue your financial goals both today and throughout your life, we focus on

four key areas:

• Financial Planning

• Investment Management

• Retirement Strategies and Income Planning

• Life Transitions

OUR GUIDING PROCESS:

The professionals at Stonegate Financial use a comprehensive wealth planning process to develop

a unique and personalized financial plan that will provide the foundation for pursuing your goals.

1. DISCOVERY

Together we’ll find out where your life is today relative to where you want your life to be tomorrow.

We’ll discuss your goals and learn about your investment history and how comfortable you are with

different levels of risk.

2. ANALYSIS

Once we have analyzed the information you’ve provided us, we’ll present our recommendations,

answer your questions, consider alternatives, and outline the steps we need to take to implement

your plan.

3. IMPLEMENTATION

Once you fully understand and are satisfied with our recommended strategy, we will implement your

plan using the extensive research and resources available to us.

4. ONGOING MONITORING

We will continually work with you to monitor your plan’s progress relative to your defined objectives

and advise any changes when and where needed. We’ll provide ongoing reporting of your account

activity and conduct periodic reviews.

There is no assurance that any investment strategy will be successful. Investing involves risk and investors may incur a profit or a loss.

03

IN PREPARATION FOR OUR DISCUSSIONS

In order to thoroughly define your goals and prioritize your needs and objectives, please complete this

financial profile. In addition to the questions asked, we request that you provide us with any additional

information that you feel is pertinent to your financial situation. This may include copies of the following:

• Your Most Current Tax Return

• Your Investment or Brokerage Statement(s)

• Your Retirement Plan Statement(s)

• Your Benefits and Insurance Policy Statements

• A Recent Pay Receipt

• Social Security Income Statement

In addition to the information requested above, please be prepared to discuss the following (if applicable):

• Savings Rate and Budget Analysis

• Current and Long-Term Liabilities

• Age at Which You Wish to Stop Working

• Income at Retirement Coupled with Social Security

• Current or Future Estate and Legal Needs

COMPLETING THE FINANCIAL PROFILE

On the following pages, we request that you complete the data to the best of your ability. If you would

like our help or guidance, we would be happy to assist you during the data gathering process.

Please know that all personal and financial data discussed and collected is treated with strict confidentiality

whether or not you become a client. By completing this form, we will assume that the information provided

is both complete and accurate to the best of your ability.

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CONCERNS AND OBJECTIVES:

General QuestionsAre you anticipating any major lifestyle changes? (retirement, moving, etc.) Yes No Uncertain

If so, what changes are you expecting? ___________________________________________________________

Are you comfortable with your current cash flow? Yes No Uncertain

Do you anticipate any significant changes in your cash flow? Yes No Uncertain

Do you anticipate any major expenditure in the near future? Yes No Uncertain

If so, what expenditures are you expecting? ________________________________________________________

Retirement Planning Client 1 Client 2At what age do you hope to retire? ____________ ____________

If you plan on working after retirement, estimate your expected income: ____________ ____________

How long do you plan on working after retirement? ____________ ____________

ProtectionDo you or your spouse have any potential health problems? Yes No Uncertain

Do you and your spouse have adequate medical coverage? Yes No Uncertain

Do you and your spouse have disability coverage? Yes No How much ____________ ____________

Do you and your spouse have personal liability coverage? Yes No How much ____________ ____________

Do you and your spouse have life insurance? Yes No How much ____________ ____________

Do you have long-term care coverage? Yes No How much ____________ ____________

Do you have an emergency fund (money set aside in savings)? Yes No How much ____________ ____________

Estate PlanningDo you have updated/adequate wills? Yes No Uncertain

Have you established any trusts? Yes No Uncertain

Are you the beneficiary of any trusts? Yes No Uncertain

Will you be receiving a significant inheritance? Yes No Uncertain

Is proper titling of property a concern? Yes No Uncertain

ConcernsPlease list any concerns you might have: _________________________________________________________

______________________________________________________________________________________________

______________________________________________________________________________________________

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PLEASE LIST TWO OF YOUR FINANCIAL GOALS FOR THE FOLLOWING TIME-FRAMES:

1 – 2 years: _____________________________________________________________________________

______________________________________________________________________________

3 – 5 years: _____________________________________________________________________________

______________________________________________________________________________

10+ years: ______________________________________________________________________________

______________________________________________________________________________

FINANCIAL AND PERSONAL PLANNING QUESTIONS:

1) What worries you about your current financial situation? _____________________________________________

______________________________________________________________________________________

______________________________________________________________________________________

2) If you are not on track, what are you willing to change to get back on track? _______________________________

______________________________________________________________________________________

______________________________________________________________________________________

3) What traits (personal & professional) are you looking for in your financial planner? __________________________

______________________________________________________________________________________

______________________________________________________________________________________

4) What are your expectations of the professionals at Stonegate Financial, this process and this experience? ___________

______________________________________________________________________________________

______________________________________________________________________________________

5) If we can help you accomplish one thing in the next 6 months, what would that be? ___________________________

______________________________________________________________________________________

______________________________________________________________________________________

6) Describe your experience(s) with other advisors (legal, tax, financial, etc.) _________________________________

______________________________________________________________________________________

______________________________________________________________________________________

7) What is something that you enjoy doing outside of work? _____________________________________________

______________________________________________________________________________________

______________________________________________________________________________________

Please go to last page to note any additional questions you may have.

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HOUSEHOLD INFORMATION:

Physical Address _______________________________

________________________________

Mailing Address ________________________________

(if different) ________________________________

Home Phone ________________________________

CHILDRENName DOB

____________________________ ___________

____________________________ ___________

____________________________ ___________

____________________________ ___________

____________________________ ___________

CLIENT 1 CLIENT 2

Personal Information:

___________________________________ Legal Name __________________________________

___________________________________ Preferred Name __________________________________

___________________________________ Social Security Number __________________________________

___________________________________ Date of Birth __________________________________

___________________________________ Cell Phone __________________________________

___________________________________ Work Phone __________________________________

___________________________________ Personal Email __________________________________

___________________________________ Work Email __________________________________

___________________________________ Best way to reach me __________________________________

___________________________________ Employer/Retired __________________________________

___________________________________ Position/Former Title __________________________________

___________________________________ Driver’s License Number __________________________________

___________________________________ Expiration Date __________________________________

___________________________________ State of Issue __________________________________

(as appears on statements)

(home/cell/email, etc.)

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Beneficiary Information:CLIENT 1

Primary/Contingent Name SS# DOB %

CLIENT 2

Primary/Contingent Name SS# DOB %

Account Suitability:

Account Financial Information

Combined Annual Income Combined Net Worth Excluding Personal Residence(s)

¨ $0-$19,999 ¨ $0-$19,999

¨ $20,000-$50,000 ¨ $20,000-$50,000

¨ $50,001-$100,000 ¨ $50,001-$100,000

¨ $100,001-$200,000 ¨ $100,001-$250,000

¨ $200,001-$500,000 ¨ $250,001-$500,000

¨ $500,001-$1,000,000 ¨ $500,001-$1,000,000

¨ Over $1,000,000 ¨ $1,000,001-$5,000,000

¨ Over $5,000,000

Investment Experience

Provide your experience, if any, with the following investment types

None Limited Moderate Extensive

Equities ¨ ¨ ¨ ¨

Bonds ¨ ¨ ¨ ¨

Options/Futures ¨ ¨ ¨ ¨

Mutual Funds ¨ ¨ ¨ ¨

Annuities ¨ ¨ ¨ ¨

Margin Trading ¨ ¨ ¨ ¨

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MORE INCOME INFORMATION:

Expected Monthly Income Sources:

INCOME AGE INCOME ENDS MONTHLY

Social Security (Receiving now? Yes or at age ________) _______________ $ _____________

Social Security (Receiving now? Yes or at age ________) _______________ $ _____________

Pension payments (Receiving now? Yes or at age ________) _______________ $ _____________

Employment income _______________ $ _____________

Current annuity income _______________ $ _____________

Other _______________ $ _____________

Total Monthly Income $ _____________

Total Annual Income $ _____________

Review and list all your assets:Indicate which of your financial assets are available and designated for funding your retirement.

FINANCIAL ASSETS OWNER DESIGNATED FOR RETIREMENT?

ANNUAL CONTRIBUTION

CURRENT VALUE

Checking account 1 _____________________ $ _____________ $ _____________

Checking account 2 _____________________ $ _____________ $ _____________

Bank savings/deposits _____________________ $ _____________ $ _____________

CDs _____________________ $ _____________ $ _____________

Brokerage account 1 _____________________ $ _____________ $ _____________

Brokerage account 2 _____________________ $ _____________ $ _____________

College savings/529 _____________________ $ _____________ $ _____________

401(k) 1 _____________________ $ _____________ $ _____________

401(k) 2 _____________________ $ _____________ $ _____________

IRA 1 _____________________ $ _____________ $ _____________

IRA 2 _____________________ $ _____________ $ _____________

Roth IRA 1 _____________________ $ _____________ $ _____________

Roth IRA 2 _____________________ $ _____________ $ _____________

Annuity assets* _____________________ $ _____________ $ _____________

Other _____________________ $ _____________ $ _____________

Total Financial Assets $ _____________ $ _____________

*Annuities you own that have not already been included in the account values or income sources you listed

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NOTES AND ADDITIONAL QUESTIONS OR COMMENTS:

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

Please list any other assets (nonfinancial) such as home, business, collectibles, investment properties, etc.

OTHER ASSETS OWNER VALUE

Residence ___________________________________________________________________________________________ $ ____________________

Business ____________________________________________________________________________________________ $ ____________________

Other ________________________________________________________________________________________________ $ ____________________

Total Other Assets $ ____________________

LIABILITIES AND EXPENSES

LIABILITIES

CURRENT BALANCE INTEREST RATE REMAINING PAYMENTS CURRENT MONTHLY PAYMENT

Mortgage

2nd Mortgage/ HELOC

Auto 1

Auto 2

Student Loan(s)

EXPENSES

Annual Current Living expenses (excluding liability payments above) $ ________________________

Annual “Vacation” Budget $ ________________________

Annual “Gifting” Expense $ ________________________

Projected Additional Expenses: How much? When?

Education $ ___________________ ________________________

Wedding $ ___________________ ________________________

Other $ ___________________ ________________________

Do you carry any credit card balance? Yes NoIf so, what is current balance and rate? $ ___________________ ____________________________ %

204 Towne Village Drive • Cary, NC 27513 T 919.460.4688 • F 919.460.3989 • sgfnc.com

Securities offered through Raymond James Financial Services, Inc., member FINRA/SIPC. Investment advisory services offered through Raymond James Financial Services Advisors, Inc. Stonegate Financial is not a registered broker/dealer and is independent of Raymond James Financial Services.

S T O N E G A T E

An Independent FirmF I N A N C I A L