Mini Fact Finder

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Client Questionnaire

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. The collection and analysis of all relevant personal and financial data.
2. The identification of financial problems.
3. The identification of financial goals and objectives.
4. The provision of a written report with recommendations.
5. The co-ordination and implementation of recommendations.
6. 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.

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

PERSONAL DETAILS

 

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Client Partner
Title
Mr Mrs Miss Ms Other:
Title
Mr Mrs Miss Ms Other:
Given Name Given Name
Preffered Name Given Name
Surname Surname
Date of Birth Date Of Birth
Sex Male Female Sex Male Female
Marital Status Marital Status
Single Married Divored Other: Single Married Divored Other:
Residential Address Residential 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
Email Email

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DEPENDENT DETAILS

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Name Sex Date of Birth Age Eligible for Austudy?
Male Female Yes No
Male Female Yes No
Male Female Yes No

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TAX STATUS

Personal

Company

Trust

Super Fund

Other: ___________________

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