March 17, 2019
1. Overall, do you find the Relationship Summary useful? If not, how would you change it? If so, what topics and how can they be improved?:
Yes I find it useful because it can help you figure out what type of firm is good for you.
2. How useful is each section of the Relationship Summary? Please consider explaining your responses in the comments:
a. Type of Relationship and Service: Very Useful:
b. Our Obligations to You: Very Useful:
c. Fees and Costs: Very Useful:
d. Comparison to different account types: Very Useful:
e. Conflict of Interests: Very Useful:
f. Additional Information: Very Useful:
g. Key Questions to Ask: Very Useful:
3. Please answer the following questions. Please consider explaining your responses in the comments:
a. Do you find the format of the Relationship Summary easy to follow?: Yes:
b. Is the information in the appropriate order?: Yes:
c. Is the Relationship Summary easy to read?: Yes:
d. Should the Relationship Summary include additional information about different account types?: Yes:
e. Would you seek out additional information about a firm's disciplinary history as suggested in the Relationship Summary?: Yes:
4. Are there topics in the Relationship Summary that are too technical or that could be improved?:
Because I have taken some classes outside of college as well as at college I fully understand the relationship summary.
5. Is there additional information that we should require in the Relationship Summary,such as more specific information about the firm or additional information about fees? Is that because you do not receive the information now, or because you would also like to see it presented in this summary document, or both? Is there any information that should be made more prominent?:
No additional information is required as long as everything is to the point and all the fees are in plain sight and easily accessible to the consumer everything is good.
6. Is the Relationship Summary an appropriate length? If not, should it be longer or shorter?:
It is at an appropriate length.
7. Do you find the 'Key Questions to Ask' useful? Would the questions improve the quality of your discussion with your financial professional? If not, why not?:
The key questions to ask is also useful mainly because it starts a conversation that you can continue by following up their answers with a little bit of research.
8. Do you have any additional suggestions to improve the Relationship Summary? Is there anything else you would like to tell us?: