You receive a phone call from someone you have not spoken to recently. The caller is excited, having just heard that a brand new mutual fund is positioned to deliver large gains in the coming year. The caller wishes to purchase shares of the fund through you. Keeping in mind the stages of the overall personal financial planning process, which of the following questions that address the first two stages of financial planning should you ask?
1. What are your goals for this investment?
2. What other investments do you have?
3. What is your date of birth?
4. Do you want the dividends reinvested?
a. (1) and (3) only
b. (2) and (4) only
c. (1), (2), and (3) only
d. (1), (2), and (4) only