Client Profiling and Capital Market Theory
Free NASAA Series 65 (Uniform Investment Adviser Law Examination) lesson in Client Investment Recommendations and Strategies. 21 min read, ~3,208 words.
Client types: individuals, business entities (C corp, S corp, partnerships, LLCs), trusts (revocable vs. irrevocable), foundations and charities. Client profile = 5 factors: financial goals, financial situation, risk tolerance (capacity vs. willingness), nonfinancial considerations, time horizon. Risk capacity is financial ability to absorb losses; risk willingness is emotional comfort with...
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What this lesson covers
- Content
- Example 1
- Example 2
- Common Mistakes
- Check Your Understanding
- Exam Shortcuts
Learning objectives
- C19
- C20
- C21
- C22
- C23
- C24
- C25
- C26
- C27
- C28
- C29
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