The Investor panel collects essential personal details about the account holder, investment knowledge, investment experience, and more. This information is critical for identity verification, compliance, and client communication.
If the client’s details already exist within the CRM, the information in this panel will auto-populate. You must still open the panel to review, verify accuracy, and click Save to mark it complete.
Filling Out Investor Information
Enter the client’s investor details into the provided fields:
- Investment Knowledge: Select either Sophisticated, Good, Limited, Poor/None
- Investment Experience: Select None, Stocks, Mutual Funds, Bonds, Real Estate, or Derivative, Options, Futures, or Currency Trading.
- Is the client considered vulnerable? ONLY Select 'Yes' if you consider the Client to be an individual who is at a significant risk of experiencing harm, exploitation, or disadvantage due to various personal, social, economic, or environmental factors.
- Is the client considered a reporting insider within the meaning of the regulation?: Select Yes or No
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Does the client, as an individual or as part of a group, hold a controlling interest in such a company (more than 20% of the outstanding voting securities of an issuer)?: Select Yes or No
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Other than Optimize, does anyone other than the client (or any other person named on their jointly held accounts) have any authority to give instruction over and/or trade on this account?: Select Yes or No
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Does anyone other than the person named on the account guarantee this account?: Select Yes or No
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Will the account be used by a person other than the applicant or for the benefit of a third party?: Select Yes or No
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Is the client or a member of their family with whom they live an employee, office, or director of a securities broker, stock exchange itself, or CRO?: Select Yes or no. A Securities Broker is a firm that facilitates the buying and selling of securities (such as stocks, bonds, and mutual funds) on behalf of investors.
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Does the client trade or intend to trade with other investment firms?: Select Yes or No
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Does the client use leverage or borrowing to finance the purchase of securities?: Select Yes or No
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Is the client, a member of their family, or a close associate of theirs a Foreign Politically Exposed Person (PEP)?: Select Yes or No
- Is the client, a member of their family, or a close associate of theirs a Domestic Politically Exposed Person (PEP)?: Select Yes or No
- Is the client, a member of their family, or a close associate of theirs the Head of an International Organization (HIO)?: Select Yes or No
Saving the Panel
After completing all required fields:
- Click Save to lock in the provided details.
- The panel status will update from Incomplete (yellow) to Complete (green) upon successful saving.
Example of Completed Investor Panel
