Customer Name: Jane Doe
Age: 41
Marital Status: Married
Dependents: 1 Child, Age 13 <...
Business, 05.08.2020 17:01, samoanlgnd
Customer Name: Jane Doe
Age: 41
Marital Status: Married
Dependents: 1 Child, Age 13
Occupation: Homemaker
Household Income: $140,000
Net Worth: $240,000 (excluding residence)
Own Home: Yes
Investment Objectives: Total Return / Tax Advantaged
Investment Experience: 12 years
Current Portfolio Composition: 8% Common Stocks
62% Corporate Bonds
30% Money Market Fund
In order to make an appropriate recommendation to this customer, the registered representative should be concerned about the customer's:
I. Investment time horizon, with specific emphasis on whether the 13 year old child will go to college and how this expense will be funded.
II. Strategic asset allocation needs with specific emphasis on the fact that the customer’s portfolio mix might be overly conservative for a person that is only 41 years old.
III. Retirement needs, with specific emphasis on whether the customer’s spouse is covered by a pension plan or if the customer must fund her retirement on her own.
IV. Life insurance coverage, with specific emphasis on the fact that this non-working wife and child must be supported if the husband dies.
a. I and III only
b. II and IV only
c. I, II, III
d. I, II, III, IV
Answers: 1
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