Series 82 podcast · Episode 12
Customer Investment Profile
20 min of listening
Opening Customer Accounts. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Gathering the Customer's Investment Profile
- Financial Factors in the Investment Profile
- Personal and Situational Factors
- Investment Objectives
- Tax Consequences of Securities Transactions
- Verification of Investor Accreditation and Sophistication
- Form CRS Content and Delivery Timing
Put this episode into practice with adaptive questions and flashcards in the full Series 82 course.