CLIENT PROFILE & RISK ASSESSMENT

As required by the Investment Act of 1940 and the SEC’s Regulation Best Interest (Reg BI), all Clients of Advisors registered under Wealth Watch Advisors are required to complete a Financial Questionnaire (otherwise known as a Client Profile) and a Risk Assessment Questionnaire prior to an Advisor implementing financial recommendations. This webpage describes the options available to Advisors in order to meet these requirements.

WWA Risk Assessment Tool

  • Advisors may use this website to send and manage client risk assessments.
  • Advisors may collect assessment responses by email through the website, or by phone, or in person, as long as the answers are provided by the client.
  • One assessment is required per account owner.
  • A PDF version of the survey within the website can be found here: Fillable WWA Risk Assessment Questionnaire
    (this form does not include any PII and may be sent over normal email).

    Please watch the 15 minute training video explaining the use of our online tool.

https://wwasecureinfo.com/

Client Profile
Financial Questionnaire

Coming Soon

WWA Client Questionnaire

Fillable PDF: WWA Client Questionnaire

Click here to download the fillable WWA Client Questionnaire.

  • This PDF fillable form may be used as a “Client Profile” (aka Financial Questionnaire).
  • Once complete, this PDF must be uploaded into the Fusion ticketing system along with other required compliance documents in order to trade a new account. This form must be uploaded into Fusion because there is no online database for WWA to have ongoing visibility into whether a questionnaire was completed.
  • This form does not include any PII and may be sent over normal email.