Given the following information, please fill out the form below.

Tim Smith

10-1-1970 = DOB

123-45-6789 = SSN

Drivers License = 123456789

Drivers License Exp = 10/1/2025

234 Finance St, Elmsford NY 10523

Unemployed in transition currently , income from severance package of $60K

Expenses = 40K

Assets = 1M in mutual funds, 200K stocks, 100K cash

Estate is beneficiary

Tim is opening a brokerage account in his name only, he wants to contribute 10K from his cash/savings account for market growth. He is looking to buy VOO with these funds and be a bit more aggressive.

4. Suitability continued Additional Suitability Information Assets Held Away - Provide total value of assets held away and percentages for each type of asset. Total of all percentages must equal 100%. 5. Account Characteristics Core Account Investment Vehicle The Advantage Cash Sweep (ACS) and the Insight Cash Sweep (ICS) are each a bank deposit sweep program (BDSP) used as a core account investment vehicle. BDSPs automatically deposit, or sweep, cash balance in your account to interest-bearing deposit accounts at one or more FDIC-insured banks. For more information about the ACS and ICS Programs, please refer to their respective Disclosure Documents. The Fidelity Cash Reserves Money Market Fund (FDRXX), a money market mutual fund, is also used as a core account investment vehicle. For more information about FDRXX, please refer to the fund prospectus. MMLIS Wealth Management Accounts (WMS) If you are opening a non-retirement account in a MMLIS Wealth Management Services advisory program, the ACS will be your core account investment vehicle, except if your account is ineligible for a BDSP (Ineligible Account). Generally speaking, Ineligible Accounts include Keogh Plans and non-prototype retirement accounts as well as any account held by customers located outside the United States. For Ineligible Accounts, FDRXX will be your core account investment vehicle. If you are opening an individual retirement account (IRA) subject to Section 4975 of the Internal Revenue Code such as a traditional, rollover, Roth or inherited IRA in the following MMLIS WMS advisory programs: Advisor Select, Portfolio Solutions, UMA, SMA Select, Strategist Select, Guided Portfolios, Brinker Capital, Fund Select, Fund Select Premier, and Fund Strategist Provider, the ICS will be your core account investment vehicle. If you are opening any other type of retirement account in a MMLIS WMS advisory programs, FDRXX will be your core account investment vehicle