Nelson Financial Surveys

Welcome!

This is your annual portfolio checkup. Our goal is to check in with you frequently, in a convenient manner, to do a quick review with you to make sure we are managing your portfolio appropriately.

If at any time you have questions or you would like to book an appointment with me, click on any of the links on the right hand side.

To begin, check out the video I’ve posted on the right hand side for my most recent comments. Once you have done this, click NEXT. Please note that the information we require from you is mandatory. If we do not receive this information from you electronically, then we need to meet with you personally. In either situation, this is information that we must collect from you to make sure we still have a full understanding of your current situation.

Thank you for the opportunity to do this important work for you. We appreciate the trust and confidence you have placed in us.

All the best!

Doug

Douglas V. Nelson
President. Portfolio Manager.
Nelson Portfolio Management Corp.

Step #1 of 10: Your Personal Information. We always want to make sure the information we have on file is up to date and accurate. Please complete the following information. The video on the right will help to explain further why we need this information and how it will be used.

Spouse 1 - Personal Details

First Name

Last Name

Date of Birth
ex. Sep 21, 2024

Sex

Marital Status

Citizenship

Social Insurance Number

Primary Email

Cell Phone Number

How Would You Rate Your Knowledge of Investing?

Has there been any material change in your personal situation over the past 24 months such as a change in residence, employment, marital status, income, retirement or your health?

Before leaving this section, are there any additional comments or questions you’d like to add?

Spouse 1 - Employment Information

Employment Status

Employer Name

Occupation

Type of Business

Potential Retirement Date
You could enter a specific date or you could be more general by saying something like: in 10 years; in 2022; or at age 65.

Annual Income

Business Phone

Business Email

Before leaving this section, are there any additional comments or questions you’d like to add?

Spouse 2 - Personal Details

First Name

Last Name

Date of Birth
ex. Sep 21, 2024

Sex

Citizenship

Social Insurance Number

Primary Email

Cell Phone Number

How Would You Rate Your Knowledge of Investing?

Has there been any material change in your personal situation over the past 24 months such as a change in residence, employment, marital status, income, retirement or your health?

Before leaving this section, are there any additional comments or questions you’d like to add?

Spouse 2 - Employment Information

Employment Status

Employer Name

Occupation

Type of Business

Potential Retirement Date
You could enter a specific date or you could be more general by saying something like: in 10 years; in 2022; or at age 65.

Annual Income

Business Phone

Business Email

Home Address

Street Address

City

Province

Postal Code

Country

Home Phone

Before leaving this section, are there any additional comments or questions you’d like to add?

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U.S. Information

Step #2 of 10: Your Connection To The United States. Many Canadian’s spend considerable time vacationing or working in the U.S.. Many Canadian’s are also U.S. citizens. These activities may have a significant impact on the tax implications on your portfolio. Please complete the following information. The video on the right will help to explain further why we need this information and how it will be used.

Spouse 1 - U.S. Information

Were you born in the U.S.?

Do you have a U.S. Tax ID Number?
If so, please provide it to us below.
If not, please enter "NO".

Do you own a business registered in the U.S.?

Do you own property in the U.S.?

Do you receive rental income from a U.S. property?

Do you hold U.S. stocks in investment accounts with firms other than Nelson Portfolio Management Corp.?

How many days do you typically spend in the U.S. each year?

What is your connection to the U.S. and do you have a closer connection to the U.S. than Canada? This is what the U.S. government wants to know. To determine this, they use a formula called the Substantial Presence Test. This formula looks at the number of days you have spent in the U.S. over the past three years. In general, if you are averaging less than 120 days in the U.S. each year, there are no issues. If you are averaging more than 120 days each year, you will have annual filing requirements with the IRS that cannot be avoided. If you are close to 120 days each year in the U.S. please be in touch with us right away for further conversation.

Before leaving this section, are there any additional comments or questions you’d like to add?

Spouse 2 - U.S. Information

Were you born in the U.S.?

Do you have a U.S. Tax ID Number?
If so, please provide it to us below.
If not, please enter "NO".

Do you own a business registered in the U.S.?

Do you own property in the U.S.?

Do you receive rental income from a U.S. property?

Do you hold U.S. stocks in investment accounts with firms other than Nelson Portfolio Management Corp.?

How many days do you typically spend in the U.S. each year?

What is your connection to the U.S. and do you have a closer connection to the U.S. than Canada? This is what the U.S. government wants to know. To determine this, they use a formula called the Substantial Presence Test. This formula looks at the number of days you have spent in the U.S. over the past three years. In general, if you are averaging less than 120 days in the U.S. each year, there are no issues. If you are averaging more than 120 days each year, you will have annual filing requirements with the IRS that cannot be avoided. If you are close to 120 days each year in the U.S. please be in touch with us right away for further conversation.

Before leaving this section, are there any additional comments or questions you’d like to add?

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Net Worth

Step #3 of 10: Your Net Worth. Your net worth is the difference between the value of the things you own (such as your home and your investments) minus the debts you have (such as a line of credit, mortgage, credit cards or car loan). The video on the right will help to explain further why we need this information and how it will be used.

What is your net worth today?

Has your net worth changed significantly over the past 12 - 24 months?

Have you received an inheritance?
Have you bought something new?
Have you sold something?

Do you expect your net worth to change significantly in the next 12 to 36 months?

Do you expect to receive an inheritance?
Do you expect to be making additional lump sum deposits to your savings, and / or against your debts?
Do you expect to be making one or more lump sum withdrawals from your portfolio?
If yes, please explain.

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Portfolio Restrictions

Step #4 of 10: Portfolio Restrictions. Are you restricted from holding any specific types of investments? The video on the right will help to explain further why we need this information and how it will be used.

Are you or your spouse, as an individual or as part of a group, in a control position of a publicly traded company?
If Yes, please add the name of the company and your share percentage details below.
If No, type “No”.

What is a public company?
A public company is a company that has issued securities through an initial public offering (IPO) and is traded on at least one stock exchange or over the counter market?
What is a control position?
Do you 10% or more of the public company?

Are you or your spouse a Director, Senior Officer or Insider of a publicly
traded company?
If Yes, please add the details below.
If No, please type “No”.

Are you or your spouse restricted from owning any securities?
If Yes, please add the details below.
If No, please type “No”.

Are you or your spouse considered to be a politically exposed foreign person?
If Yes, please add the details below.
If No, please type “No”.

You are a politically exposed foreign person if you hold or you have ever held one of the following offices or positions in or on behalf of a foreign country:

a head of state or government;
a member of the executive council of government or member
of a legislature;
a deputy minister (or equivalent);
an ambassador or an ambassador’s attaché or counsellor;
a military general (or higher rank);
a president of a state-owned company or bank;
a head of a government agency;
a judge; or a leader or president of a political party in a legislature.

You are also considered a politically exposed foreign person if you are a family member of an individual described above. In this context, a family member means one of the following:

mother or father;
child;
spouse or common-law partner;
spouse’s or common-law partner’s mother or father and
brother, sister, half-brother or half-sister (that is, any other child of the individual’s mother or father).

For more information, click here (http://www.fintrac.gc.ca/publications/brochure/06-2008/1-eng.pdf).

Before leaving this section, are there any additional comments or questions you’d like to add?

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Investment Reporting

Step #5 of 10: Investment Reporting. Are you receiving the reports that we are sending to you? The video on the right will help to explain further why we need this information and how it will be used.

Reports You Receive from Nelson Portfolio Management Corp:

Nelson Portfolio Management Corp. sends to you a package of information in January, April, July and October.
This package contains:

a colorful quarterly portfolio commentary and
a quarterly portfolio report that contains a snapshot of your account, a monthly performance report and a list of historical transactions.

Do you recall receiving these packages?

For your convenience, above you will see links that provide to you a further explanation of how to read your Quarterly Portfolio Report and to view our previously published Quarterly Portfolio Commentaries

How would you like to receive this package in the future?

Do you have any questions about your NPMC Quarterly Reporting package?

Is there any additional information that you’d like to see in your quarterly reporting package?

Reports You Receive from NBCN:

Are you receiving monthly statements from NBCN?

Statement Frequency: NBCN is to provide to you a quarterly statement as a minimum. If there is activity in your account that month, NBCN is to provide to you a monthly statement. This means that you may, from time to time, receive a monthly statement showing some of your accounts, but not all of them.
On-line Access to your NBCN Account: We can also set you up to have on-line access to your NBCN account. We can also set you up to have your NBCN statements sent to you electronically. To set this up, please contact Lorraine.
For more information about NBCN, see the attached brochure “Welcome To National Bank Correspondent Network"

Do you have any questions about your NBCN statements?

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Past Risk & Returns

Step #6 of 10: Past Risk & Returns. Are you comfortable with your portfolio today? The video on the right will help to explain further why we need this information and how it will be used.

In the last section we talked about the Nelson Portfolio Management Corp. quarterly reports. In this package is a Monthly Performance Report. This report shows you the beginning value, ending value and rate of return for each of the past 12 months. This report also shows you your historical investment returns. The rate of returns for periods greater than 1 year are annually compounded returns.

With this information, do you feel that your portfolio has fluctuated in value beyond your comfort level over the past year?
If you answer Yes or Not Sure, please add additional information in the comments section below.

Do you have any questions or concerns about any of the investment holdings in your portfolio?
If Yes or Not Sure, please add additional information in the comments section below.

Would you like to see any changes made to your portfolio as this time?
If Yes, please add additional information in the comments section below.

Do you have additional comments arising from the previous questions?
If so, please add them here. Your feedback is very important to us. Your feedback helps us to understand your perspective and concerns. Your feedback also helps us ensure that we are managing the portfolio in a manner that is consistent with your comfort level and objectives.

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Looking Ahead

Step #7 of 10: Looking Ahead. What do you expect for the next 1 to 3 years? Could there be some significant events in your life such as changes in your marital status or health, moving to a new home, buying or selling a cottage, starting or selling a business, a significant career change, changes in your income, receiving an inheritance and / or transitioning into retirement? If so, these changes may have a direct impact on how we manage your portfolio. To help us understand how you view the next few years, please answer the questions below. The video on the right will help to explain further why we need this information and how it will be used.

Do you anticipate making any significant capital withdrawals from your portfolio in the near future, so as to make a specific purchase? This question does not relate to typical income withdrawals.

Do you anticipate retiring within the next 5 years?

If you are currently retired, is your current income satisfactory?

What is your investment time horizon?

Nelson Portfolio Management Corp. views your overall portfolio as one investment, with one specific investment mandate (Conservative, Balanced or Growth). To achieve this, specific accounts within your portfolio may be structured more conservatively or more aggressively based on things such as your personal circumstances, time line or tax picture.

Do you feel that any specific accounts within your overall portfolio today are not being managed as you desire or expect?

Before leaving this section, are there any additional comments or questions you’d like to add?

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Step #8 of 10: Anti-Money Laundering & Financial Fraud Protection: Please tell us a little more about your personal situation today and what we can expect from you going forward. The video on the right will help to explain further why we need this information and how it will be used.

Do you have a non-registered or corporate investment account held through Nelson Portfolio Management Corp today?

If so, looking ahead, how often do you expect to make deposits or withdrawals?
Please explain below the frequency and amounts you expect to deposit or withdraw over the coming year.

If you expect to be making future deposits, what do you expect to be the source of these funds: Employment income? Inheritance? Other?
Please provide details.

Are you a shareholder of a private business?

If you are a shareholder of a private business, please explain the type of business.

What does the business do?
What products or services does it provide to its customers?
Who is the typical customer of the business?

If you are a shareholder of a private business, please provide the name of the business and your percentage ownership.

In which countries does the business operate?
Please list the country names below.

Do you have bank accounts, investments and / or real estate in countries other than Canada?
If so, please provide the details below.

Do you have family residing in countries other than Canada (siblings, parents, children, nieces, nephews, uncles, aunts)?

Before we leave this section, are there additional comments or questions you’d like to add?

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Confirmation

Step #9 of 10: Confirmation: the information provided will be used to manage your portfolio based on your goals and objectives. By indicating below you agree the information submitted is complete and accurate. The video on the right will help to explain further why we need this information and how it will be used.

Name of person completing this information

Did anyone else contribute to completing these questions?

Did you answer some or all of the questions on behalf of your spouse?

I verify that I have answered all of these questions truthfully.

Are there any additional questions or comments you’d like to add to this section?

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Feedback

Step #10 of 10: Thanks again for taking the time to complete this checkup. This information is very helpful and informative as it helps us to be sure that we are managing your investment portfolio in the most appropriate manner. Once you select the Save and Complete button below, all of your answers will be saved and submitted to NPMC for review and you will be taken to the NPMC resources page. If we have any questions about any of your answers, we will be in touch with you to discuss them accordingly. When our review is complete, we will then send to you a copy for your files. The video on the right will help to explain further why we need this information and how it will be used.

Are there any other questions, concerns or priorities that you would like to discuss further today?
If so, please let us know and we will arrange a time to meet.

How are we doing overall?

Are we meeting or exceeding your expectations?
What would you suggest we do to improve?
Your feedback is important to us.

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