Investor Checklist

The following checklist is designed to help you ask the right questions before making an investment. Once you get the answers, do your due diligence and verify the information with the appropriate federal regulator and with your state securities regulator. Remember, the time to ask questions is before you hand over your money.

Salesperson/Agent Information:

• Salesperson/Agent Name

• Company/Business Name

• Company/Business Address

• Phone Number

• Website Address

Investment Products/Services Offered:

• Commodity Futures/Options

• Foreign Currency

• Securities

• Annuities

• Estate Planning

• Real Estate

• Insurance

• Other

Who regulates or licenses the product/service offered?

What license(s) or registration(s) do you hold that authorizes you to offer or sell this product/service?

Write down the license/registration numbers for all applicable licenses/registrations.

What written information will I receive about this investment before I make a decision?

• Offering or Private Placement Memorandum

• Prospectus

• Most Recent Annual Report

• Most Recent Quarterly or Interim Report

• Recent News Releases

• Research Reports

What are the risks associated with this investment?

What are the fees and associated costs for this investment and how are they calculated?

Are there any restrictions on accessing funds once I invest?