Inv. Objectives & Suitable Inv.

Question 1

For Long Term Growth (Long Time Horizon, Greater Volatility) (7)

Answer 1

1. Common Stock
2. Growth Stock
3. ADR
4. Growth Fund
5. Stock Fund
6. Index Fund
7. Stock ETF

Question 2

For Growth and Income (Less Volatile, Reduced Dividends) (4)

Answer 2

1. Mix Stocks and Bonds
2. Balanced Fund
3. Convertible Bond
4. REIT

Question 3

For Income (Least Volatile) (4)

Answer 3

1. Income Fund
2. Bonds and Bond Funds
3. Preferred Stock
4. Utility Stock

Question 4

For Safety (Low Credit Risk) (3)

Answer 4

1. US Treasury
2. Agency Debt
3. Inv. Grade Corporate and Muni Debt

Question 5

For Short Term Capital Preservation (MM) (5)

Answer 5

1. MM Mutual Fund
2. T-Bill
3. BA
4. Commercial Paper
5. For High Tax Bracket - Muni Note - RAN BAN

Question 6

For Aggressive Growth or Income (High Risk High Reward) (7)

Answer 6

1. High Yield Bond
2. Sector Fund
3. CMO tranche
4. BDC
5. Wildcatting LP (DPP)
6. Raw Land LP (DPP)
7. Small/Micro Cap Stocks and Funds

Question 7

For Tax Advantaged Investments (High Tax Bracket) (3)

Answer 7

1. Tax Except Income
   - Muni Bond
2. Tax Deferral
   - Annuities
   - Retirement Plans
   - ESA
3. Tax Credit and Deductions
   - DPP and LP

Question 8

For Speculation (Active, ST Speculation) (3)

Answer 8

1. Options
2. Leveraged ETF
3. Short Stock Positions