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(519) 741-8478

Frost Financial Team
101-30 Dupont Street E.
Waterloo ON N2J 2G9
Phone: (519) 741-8478, Toll Free: (855) 619-3684 Fax: (519) 741-0361
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Investment Strategy Questionnaire

Constructing an appropriately diversified investment portfolio, consistent with your financial situation, risk tolerance and objectives is crucial to your financial well-being. This is a process designed to help you choose the most appropriate investment portfolio for your needs.

A key step in the process is completion of this Investment Strategy Questionnaire. The answers to these questions will be used in conjunction with a thorough analysis of your needs to create your personal investment plan. Your advisor is available should you require assistance with completion of this questionnaire.

1. Time Horizon
I may need the total amount invested and the investment revenue from this account within the next three years

2. Investment Objective
Currently, my main objective for this investment account is to (please choose ONE of the following options)

3. Financial Stability
My personal and financial situation allows me to incur the risk of short-term losses for up to three yers without compromising my financial stability

4. Liquidity Needs
I will cover my current expenses without using this portfolio

5. Short-Term Risks
If the return from this account was negative over a year, thus generating paper financial losses in the short run of 15% or more, I would adhere to my initial investment strategy

6. Tolerance
I understand that the value of an investment in the stock market will change daily. I am, however, prepared to accept these fluctuations and extended periods of low or negative returns in order to earn a potentially higher return over the mid- to long-term

7. Does the amount available for investment represent less than 25 percent of your total investment portfolio?

This questionnaire is not, and should not be construed as, financial advice. Please consult your financial advisor for a full explanation of each question above and to discuss how your responses may apply in developing a financial strategy appropriate to your personal circumstances.


Implementing a retirement, estate, and any other form of financial plan may consist of investing in mutual funds, insurance products (such as segregated funds) and other financial instruments. Prospective investors should always obtain a copy of the offering documents in respect of each investment product (such as prospectus, information statement or folder, insurance contract, etc.), and read it carefully, including discussion of any risk factors, fees, expenses, terms, conditions and restrictions. Consult your personal tax and legal advisor before investing.

HollisWealth®, a division of Industrial Alliance Securities Inc.

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